The SEC has announced that Steven Peikin is leaving the SEC on August 14, 2020. Peikin has served as Co-Director of the SEC’s Division of Enforcement with Stephanie Avakian for...
What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...
SEC Guidance on Reg BI, Form CRS Expected This Month, More to Follow Conflicts of Interest Disclosure Around Fees a Top Enforcement Priority March 9, 2020 The SEC hopes...
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