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More than 1,000 firms are expected to benefit from the coming standards and accreditation programmes. Read more at straitstimes.com.
More than a month has passed since the 4 November compliance date for the Securities and Exchange Commission’s (SEC) Modernized Marketing Rule for Investment Advisers (the Marketing...
The SEC staff previewed the sweep exams in a September risk alert that outlined portions that it intends to focus on when exams begin. Staff also suggested initial sweeps will be used as a tool to better understand current industry approaches before more guidance.
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