Award winners and finalists represent industry's most innovative and dedicated professionals NEW YORK, Nov. 10, 2022 /PRNewswire/ COMPLY and its portfolio of firms, ComplySci, RIA In
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.
Almost a year ago the Department of Labor (DOL) adopted Prohibited Transaction Exemption 2020-02 (“PTE 2020-02”). PTE 2020-20 allows investment advisors and broker-dealers to receive.