Another booming year of M&A activity among RIAs has caught the attention of the Securities and Exchange Commission (SEC). The dealmaking was flagged under “business practices that may create ...
The Marketing Rule continues to be a top examination priority for the Staff. Still a stumbling block: testimonials/endorsements and third-party ratings. Cited ...
In a fast-evolving regulatory landscape, private fund managers are facing heightened scrutiny over their cybersecurity practices. The SEC Division of Examinations' 2025 Exam Priorities, released in ...
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