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April 22, 2024
Though many, if not most, of the measures implemented to address the COVID pandemic have since been rolled back, the transition from fully in-person to remote and hybrid work environments appears to be here to stay.
April 19, 2024
On April 3, 2024, the US Securities and Exchange Commission (“SEC”) brought its first enforcement action against a “stand-alone” SEC registered investment adviser (“RIA”) for violations...
February 22, 2024
On February 9, 2024, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers...
October 16, 2023
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers. Please contact us with any questions on the topics covered below. The SEC...
August 22, 2023
In this Issue. The Office of the Comptroller of the Currency (OCC) issued guidance for banks regarding the applicability of legal lending limits to purchased loans...
May 13, 2023
Biden holds bilateral meeting with President Pedro Sanchez of Spain. Harris to give remarks at DNC finance event and Democratic Party of Georgia's Spring Soiree. Biden remarks on protection of Bristol Bay and National Conservation.