by Laura Magyar, Robert Greene and Kristine Johnson | Mar 8, 2021 | Patomak Post
On February 26, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (formerly the Office of Compliance Inspections and Examinations) issued a Risk Alert highlighting observations made by Division staff during recent examinations of...
by Laura Magyar | Nov 16, 2020 | Patomak Post
Now that the Regulation Best Interest (Reg BI) and Form CRS disclosure requirement have been on the books for a few months, the Securities and Exchange Commission (SEC) held a roundtable on October 26, 2020 to discuss issues and observations on firm compliance with...
by Karrie McMillan and Laura Magyar | Jul 8, 2020 | Patomak Post
Remember the old saying, “a penny saved is a penny earned?” Well, that adage might be useful for teaching children the value of saving, but it doesn’t always apply to the more important things in life. Would you put off replacing that missing shingle to save a few...
