The Securities and Exchange Commission’s Division of Examinations (EXAMS) published its report on 2023 Examination Priorities on February 7, 2023. The 2023 Examination Priorities continue to reflect an examination program...more
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (Federal Banking Agencies) on December 27, 2019 provided temporary relief from...more
2/10/2020
/ Bank Holding Company ,
Banks ,
Board of Directors ,
Compliance ,
Credit Extension ,
FDIC ,
Federal Bank Regulatory Agencies ,
Federal Reserve ,
Fund Management Companies ,
Insider Information ,
Investment Adviser ,
Investment Funds ,
Loans ,
OCC ,
Portfolio Companies ,
Regulation O ,
Relief Measures ,
Voting Shares
Although the U.S. Securities and Exchange Commission (SEC) staff is currently drafting proposed rules relating to the standard of conduct for broker-dealers and investment advisers, several states have decided not to wait for...more
4/4/2018
/ Best Interest Contract Exemptions ,
Broker-Dealer ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Planning ,
Investment Adviser ,
Popular ,
Retirement Funds ,
Securities and Exchange Commission (SEC) ,
State and Local Government