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SEC and FinCEN Propose Rules to Impose Customer Identification Program Obligations on Certain Investment Advisers | BCLP jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
SEC Asked to Extend Comment Period on Predictive Data tradersmagazine.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from tradersmagazine.com Daily Mail and Mail on Sunday newspapers.
On October 26, 2022, the Securities and Exchange Commission ("SEC") proposed Rule 206(4)-11, a new rule ("Proposed Rule") under the Investment Advisers Act of 1940 ("Advisers Act") that . ....
Ms Levy appeared on this week s ifa Show podcast. Michelle Levy has hit back at criticism of her appointment as reviewer of the Quality of Advice Review (QAR) during an appearance on the ifa Show podc ....
The Adviser Association has confirmed a merger. The Authorised Representatives Association (ARA) will merge with the Adviser Association (TAA), after its members voted to close the 40-year-old associ ....