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2024-04-23 14:53:25| Mondaq.Com

The US Securities and Exchange Commission ("SEC") recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 ("Marketing Rule") under the Investment Advisers Act of 1940...

Category: News and Media

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2024-04-23 14:50:21| Mondaq.Com

The FCA has published a consultation paper (CP24/7) on Payment Optionality for Investment Research. This sets out the regulator's considered proposals in the light of one...

Category: News and Media

2024-04-23 14:50:21| Mondaq.Com

The FCA has published a consultation paper (CP24/7) on Payment Optionality for Investment Research. This sets out the regulator's considered proposals in the light of one...

Category: News and Media

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