Lessons Learned
- The War on “May” Continues: SEC Charges Advisor and Dual-Hatted CCO Over Inadequate Disclosures About Fee Mark-Ups
- Form CRS Violations Continue. The SEC recently fined two more advisors for Form CRS violations similar to 27 enforcement actions brought against broker-dealers and advisors in July.
Worth Reading, Watching, and Hearing
- SEC Pulls Years of No Action Letters Replaced by Marketing Rule.
- Cybersecurity: Meeting the Emerging Challenge.
- How to Nail Your Executive Presentation – 5 Best Practices to Gain Leadership Support
- Ted Lasso Is Reinventing Leadership and Proving That Nice Leaders Can (and Should) Finish First
- Finding Your Career Path in Compliance
