JD Supra5m
Keeping Up with the Regulators: How to Build an Effective Compliance Programme to Satisfy the Best Interest Care Obligation
It has been nearly five years since the US Securities and Exchange Commission (‘SEC’ or ‘the Commission’) adopted Regulation Best Interest (Reg BI) ...
JD Supra5m
SEC Charges Investment Adviser - Signaling Importance of Accurate Disclosure of AML Procedures
The U.S. Securities & Exchange Commission ("SEC") recently announced settled charges against an investment adviser for misrepresentations ...