What RIAs and broker-dealers should consider as reliance on third-party technology platforms expands across operations and client delivery.
BSA/AML Examination Process
Diversity in asset allocation is recognized as a key component of successful investment portfolio management. Kramer Levin Naftalis & Frankel LLP - Darina F. Delappe
Regulatory Notice 22-10 (“Notice”), released on March 17, 2022, restates one of its usually unnoticed principles. Senior management is ultimately accountable.
.jpg)
Climate risk disclosure has been a major focus under the current administration.
SEC continues to impose major fines in connection with inadequate AML compliance, citing that a cut-and-paste approach to meeting the requirements is not an option.
The Securities and Exchange Commission (“SEC”) recently made amendments to the existing “Advertising Rule” and the “Cash Solicitation Rule” under the “Advisers Act.”
