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12 Results
Shannon M. Wheaton
Insights
Dec 05, 2023
Dec 05, 2023
Deadlines fast approaching for Corporate Transparency Act compliance
Insights
Nov 15, 2022
Nov 15, 2022
New federal anti-crime rule requires millions of businesses to report true ownership
Insights
May 10, 2022
May 10, 2022
SEC Continues Focus on Insider Trading by Securities Industry Participants
Insights
Mar 01, 2022
Mar 01, 2022
The SEC’s Recent Observations from Examinations into Private Fund Advisers
On January 27, 2022, the SEC released a Risk Alert from the Division of Examinations (“EXAMS”), wherein it reported concerns noted during its recent examinations of investment advisers who manage…
Insights
Feb 17, 2022
Feb 17, 2022
Potentially as soon as late 2022 or early 2023, a new U.S. regulatory requirement will come into effect which will affect over 25 million existing business entities and another 3-4 million new…
Insights
Dec 20, 2021
Dec 20, 2021
The SEC’s Recent Observations from Examinations into Advisers’ Fee Calculations
Key Takeaways:
On November 10, 2021, the SEC released a Risk Alert which provides observations from recent examinations into advisers’ fee calculations. A copy of that Alert can be found HERE.
In…
Insights
Jan 21, 2021
Jan 21, 2021
FINRA Fines Cetera Firms Total Of $1,000,000 For Securities Transactions
Two conclusions that can be drawn from the Cetera Firms’ AWC, for a firm that permits its representatives to conduct transactions through an outside RIA, are: (1) firms should perform some tangible,…
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