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New Rules Regulatory Standards Securities and Exchange Commission (SEC)

SEC Compliance Consultants, Inc. (SEC³)

Top Tips for Updating Your 2024 Compliance Program

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more

White & Case LLP

Trade: Taiwanese businesses must manage competing US and mainland Chinese demands

White & Case LLP on

Following in the footsteps of its predecessor administration, the Biden administration has continued to pursue forceful policies to restrict China's military and technological capabilities and to secure US primacy in advanced...more

Seyfarth Shaw LLP

SEC Imposes New Standard for Broker-Dealer Investment Advice

Seyfarth Shaw LLP on

On June 5, 2019, the Securities and Exchange Commission (“SEC”) voted to adopt “Regulation Best Interest,” which is intended to increase the duties a broker-dealer owes to its clients. While SEC-registered investment advisors...more

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