Rita RhodesDec 15, 20231 minComing Soon: Beneficial Ownership Information ReportingA new FinCEN reporting requirement is coming in 2024.
Rita RhodesSep 17, 20231 minAnatomy of a Regulatory ExamInformation from the SEC on how it selects advisers for exams, and what the exam process looks like.
Rita RhodesJul 20, 20233 minBest Execution ReviewHelpful advice on how to conduct your best execution review.
Rita RhodesJun 1, 20231 minWhistleblowing PoliciesBe careful not to block your employees from reporting violations to regulators.