On June 5, 2019, the Securities and Exchange Commission (“SEC”) adopted Regulation Best Interest (“Regulation Best Interest” or “Reg BI”), which establishes a new standard of conduct under the ...
In March, the Internal Revenue Service published an IRS Large Business & International (LB&I) Directive 1 (the Directive), which updates an earlier directive to field agents addressing the examination ...
Particularly for broker-dealer firms and investment advisors, the SEC examination program is the leading edge of enforcement activity. Today’s examination imperatives fuel tomorrow’s enforcement ...
The Financial Industry Regulatory Authority is looking for more information about how firms handled retail communications “concerning cypto asset products and services” in the wake of last week’s FTX ...
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