Get a detailed breakdown of the Derivatives Rule Board Solution offered by Joot, FinTech Law, and EQ Risk Management Consulting.
Need help navigating the new SEC Derivatives Rule? We can help you implement an effective derivatives risk management program and maintain compliance.
Struggling to overcome distribution obstacles in Europe as a U.S. investment manager? Let us guide you through this tough terrain.
Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.
Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.
Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.
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Get tips for meeting Form ADV and recordkeeping requirements under the new SEC marketing rule.
Learn about the SEC’s recent enforcement actions in response to Form CRS failures and get help meeting regulatory obligations to ensure RIA compliance.
Confused about how the new SEC marketing rule differentiates between third-party ratings, testimonials, and endorsements? Get some clarity here.
Need help understanding what types of hypothetical performance are permitted by the new SEC marketing rule? Read on.