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SEC Marketing Risk Alert and Exam Findings
The Risk Alert noted that key violations stemmed from overt violations of prohibitions in the marketing …
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MFDF Webinar: Impact of Market Performance on 2022 Annual Investment Firm Profitability and Economies of Scale
The discussion will focus on the impact of market performance and increased SEC scrutiny and …
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U.K. Regulator Criticizes Financial Industry on Performance, Competitiveness and Pushes for Broad Reforms
The Financial Conduct Authority, the U.K.’s chief financial regulator, recently issued a report critical …
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FINRA Proposes Amendment to Advertising Rule to Allow Certain Performance Projections
FINRA recently proposed an amendment to its advertising rule that would permit firms to distribute investment …