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Email Broker-Dealer Office of Compliance Inspections and Examinations

McGuireWoods LLP

New Year, Old Problem: Broker-Dealers Should Evaluate Their Supervision of Personal Device Use

McGuireWoods LLP on

Many companies that transitioned to a work-from-home environment in early 2020 may have reasonably anticipated a return to the normalcy of in-office operations by the end of the year. Yet as 2021 commences, remote work has...more

Blank Rome LLP

Regulatory Update and Recent SEC Actions - January 2019

Blank Rome LLP on

Fund and Investment Management January 2019 (No. 1) REGULATORY UPDATES Policy Initiatives Set Forth by the U.S. Securities and Exchange Commission’s (“SEC”) Investment Management Division On September 28, 2018, Division of...more

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