RCW shares exclusive industry data, a look at a new proposal to mandate RIA customer identification programs, AI and advertising and much more
Amended Reg S-P would require the customer notice of a breach that would have to be “in writing,” either on paper or electronically
Nearly 80% don’t showcase specific investment advice. Advisers have not embraced sharing testimonials (92% don’t), endorsements (85% don’t) or third-party ratings (83% don’t)
Among other things, this proposal would mandate that advisers must verify a customer’s or an entity’s identity 'within a reasonable time before or after the ...
"Under these amendments, covered firms will be required to notify customers of breaches that might put their personal data at risk"
The Commission is adopting rule amendments that are designed to modernize and enhance the protections that Regulation S-P provides by addressing the expanded use of ...
The Fund filed a lawsuit against Production Company A, the Joint Venture, and Film Studio A seeking repayment of the amounts outstanding on these loans, ...
He failed to disclose his financial interest in a group of private affiliated companies that had committed to investing $30 million in a company that ...
"It is difficult to envision a money laundering concern that should be addressed with these activities, and it is unreasonable to require advisers to implement ...
"The proposed rule is designed to make it more difficult to use false identities to establish customer relationships with investment advisers"