The Office of Compliance Inspections and Examinations observed compliance deficiencies for investment advisers with branch offices and geographically dispersed operations.
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In testimony before the House Financial Services Committee, FDIC Chair Jelena McWilliams reviewed the agency's response to economic risks posed by COVID-19.
The SEC Division of Investment Management is seeking feedback on the definition of "qualified custodian" under the SEC's "Custody Rule".
The SEC is seeking comment on a proposed substituted compliance determination for German firms that register as security-based swap dealers.
A broker-dealer settled FINRA charges for failing to adequately supervise a registered representative who engaged in unsuitable and excessive trading in the accounts of senior customers.