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Blizzard of SEC Proposals: Cybersecurity and Private Funds in the Crosshairs, FINRA Rule Offers New Tools to Broker-Dealers Suspicious of Senior Fraud, Form CRS Violations Continue: Regulatory Update for March 2022 | Foreside

March 22, 2022

For Investment Advisors + Broker-Dealers - Sweeping Ukraine/Russia Related Sanctions in the U.S. and Abroad. The U.S. announced and continues to update its sanctions against...

Ginny Voos Royce Suba Stephen Murphy Kayte Toczylowski Doug Kamin Rochelle Truzzi

Source: jdsupra.com

More Lessons for Private Fund Advisors, BDs & NFA Member Firms Get Continued Relief from In-Person Inspection Rule: Regulatory Update for February 2022 | Foreside

February 17, 2022

For Investment Advisors - Observations from Examinations of Private Fund Advisors. The SEC’s Division of Examinations (“EXAMS”) continues to focus on private funds,...

New York United States Cayman Islands Jaquelinem Hummel Royce Suba Jaqueline Hummel

Source: jdsupra.com

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Royce Suba News Today

Blizzard of SEC Proposals: Cybersecurity and Private Funds in the Crosshairs, FINRA Rule Offers New Tools to Broker-Dealers Suspicious of Senior Fraud, Form CRS Violations Continue: Regulatory Update for March 2022 | Foreside

More Lessons for Private Fund Advisors, BDs & NFA Member Firms Get Continued Relief from In-Person Inspection Rule: Regulatory Update for February 2022 | Foreside

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