Search for: "DISTRIBUTED SOLUTIONS, INC. v. US "
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8 Dec 2021, 7:27 am
Unless eligible to claim relief under Regulation 4.7, registered CPOs and CTAs must update their disclosure documents periodically, as they may not use any document dated more than 12 months prior to the date of its intended use. [read post]
8 Dec 2021, 11:27 am
Unless eligible to claim relief under Regulation 4.7, registered CPOs and CTAs must update their disclosure documents periodically, as they may not use any document dated more than 12 months prior to the date of its intended use. [read post]
22 Dec 2020, 9:43 am
However, CA RIAs can avoid these additional requirements by engaging a PCAOB-registered auditor to prepare and distribute audited financial statements to all beneficial owners of the pooled investment vehicle, and the Commissioner of the California Department of Financial Protection and Innovation (“DFPI”). [read post]
16 Jun 2016, 2:48 pm
Morgan Stanley also did not audit or test the relevant authorization modules, nor did it monitor or analyze employees’ access to and use of the portals. [read post]
4 Sep 2018, 3:35 pm
Supreme Court issued its unanimous decision in Cyan, Inc. v. [read post]
31 Jul 2018, 10:40 am
Connecticut’s high and distortive taxes are part of the problem, and their reform can be part of the solution. [read post]
