January Regulatory Updates from Jaqueline Hummel at Hardin Compliance Consulting LLC.
- SEC Risk Alert – Observations from Investment Adviser Examinations Relating to Electronic Messaging
- SEC Continues to Pound Advisers for Inadequate Disclosures on 12b-1 Fees and Revenue Sharing
- FINRA Releases Its Second Annual Report on Examination Findings
- The SEC Embraces the Holiday Spirit and Shows Compassion Regarding Fee Violations
- BDC Adviser Pays $3.8 Million for Expense Misallocation, Valuation Missteps, and Improper Handling of MNPI