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...
The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment adviser CCOs need to keep abreast of...
The SEC hopes to issue guidance on Regulation Best Interest and Form CRS later this month, OCIE Director Peter Driscoll told attendees at the IAA’s 2020 Investment Adviser Compliance...
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