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Update Regarding the Department of Labor Fiduciary Rule

Update Regarding the Department of Labor Fiduciary Rule

On Oct. 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 (the Bulletin). In the bulletin, the DOL revised and extended the temporary enforcement policy related to the DOL’s Fiduciary Rule/Prohibited Transaction Exemption 2020-02 (the DOL Fiduciary Rule).

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Continued Focus On Digital Asset Securities

Division of Examinations: Continued Focus On Digital Asset Securities

The SEC Division of Examinations issued a Risk Alert on Feb. 26, 2021, providing the Division’s observations made during examinations of investment advisers, broker-dealers and transfer agents regarding digital asset securities. For purposes of the Division, digital asset securities are those digital

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Dealers and Investment Advisers: Large Trader Obligations

OCIE Risk Alert – Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations

On Dec. 16, 2020, OCIE issued a new Risk Alert focused on the compliance efforts of investment advisers and broker-dealers regarding Rule 13h-1 (the Rule). The Rule was enacted in order to help the SEC identify market participants that conduct significant amounts

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Supervision, Compliance, and Multiple Branch Offices

OCIE Risk Alert: Supervision, Compliance, and Multiple Branch Offices

On Nov. 9, 2020 the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert detailing its series of examinations of investment advisers operating from numerous branch offices and with operations geographically disbursed from the adviser’s main office. This examination

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