United States: FINRA Proposes Rule Change On Remote Inspections - Cadwalader, Wickersham & Taft LLP

Mondaq

12 Nov 2020 0 shares 1 views

Mondaq

Published 12 Nov 2020

FINRA proposed a rule change that would allow member firms to complete their inspection obligations remotely through calendar years 2020 and 2021.

United States: OCIE Issues Risk Alert On Adviser Compliance Programs - Cadwalader, Wickersham & Taft LLP

Mondaq 24 Nov 2020

The Office of Compliance Inspections and Examinations identified compliance issues for investment advisers in connection with the..