Hugh Kennedy
The Form ADV FAQ addresses temporary teleworking
IT professionals across the financial services industry are taxed to the max
The SEC alleges material misstatements were made to hedge fund investors
Lapse in forming an Investor Advisory Committee an issue
Looking to identify IAs who outsource voting decisions
Contact the Commission with guidance or relief requests
SEC remains 'fully operational'
Strings attached if you wish to delay filing Forms ADV and PF
Sweep is the first announced by the SRO in 2020
For the fourth straight year, AML tops the list