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The CFPB and other federal agencies with the responsibility to enforce the Equal Credit Opportunity Act (ECOA) and/or Fair Housing Act (FHAct), recently sent a joint letter to The...
/PRNewswire/ -- The Appraisal Standards Board today announced they plan to release a Fifth Exposure Draft of proposed changes to the Uniform Standards of...
Covering legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended June 30, 2022…
When the SEC’s Division of Examinations (“Division”) publishes a Risk Alert, it expects Registered Investment Advisors (“RIAs”) to do more than just read the publication. The Division...
The staff of the SEC's Division of Examinations (Exam) recently issued a Risk Alert that detailed certain rules registered investment advisers must comply with to prevent the misuse of...