Late last month, the SEC announced that staff at OCIE are now closely looking at whether registered investment advisors and broker-dealers are complying with the agency's whistleblower regulations under Rule 21F-17. Here is what you need to know.
With the SEC increasingly focusing on problematic allocation practices such as cherry-picking, registered investment advisors, more than ever, should ensure that they have strong allocation policies and procedures.
Chief Compliance Officers should be constantly questioning how their compliance program can be improved. As a starting point, here are eight questions to consider.