RIA Regulatory Review - June 2024 | Dorsey & Whitney LLP
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers.
Source: jdsupra.com
Risk Alert News Today : Breaking News, Live Updates & Top Stories | Vimarsana
Stay updated with breaking news from Risk Alert. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.
Top News In Risk Alert Today - Breaking & Trending Today
United States - Advertising, Marketing & Branding - SEC Issues Risk Alert Regarding Compliance With Rule 206(4)-1, The Marketing Rule
On April 17, 2024, the Securities and Exchange Commission's (SEC) Division of Examination (Division) issued a Risk Alert to provide information about investment advisers...
Source: mondaq.com
China lifts risk alert warning on bird flu in Serbia
BEIJING (REUTERS) - China lifted the risk alert warning on bird flu in Serbia, the General Administration of Customs announced on Tuesday. "The risk alert on highly pathogenic avian influenza in Serbia will be lifted," according to a statement. The inspection and quarantine requirements for Serbian poultry and its products exported to China shall be formulated separately, the statement added.
Source: yahoo.com
The New Marketing Rule: Notes from the Field | Royer Cooper Cohen Braunfeld LLC
On April 17th, the SEC issued a Risk Alert titled “Initial Observations Regarding Advisers Act Marketing Rule Compliance.” Perusing the list of failures, a sense of familiarity arose,...
Source: jdsupra.com
SEC Department of Examinations Issues Risk Alert on Marketing Rule Deficiencies
Last week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations…
Source: lexology.com