12th December 2017

Email Us

bob@rpscalesllc.com

1045 Sheridan Road,

Winnetka, IL 60093

Call Us

(847) 274 5229

Resources

The SEC guidance regarding business continuity:

MFDF comments on the SEC guidance:

CFTC enforcement action alleges misstatements in an annual compliance report:

New SEC Rules for Form ADV:

OCIE’s 2015 Cybersecurity Examination Initiative:

The Department of Labor’s “Understanding Retirement Plan Fees and Expenses”

OCIE’s Risk Alert regarding Examinations of Supervision Practices at Registered Investment Advisers:

SEC guidance on Cybersecurity:

SEC guidance on mutual fund distribution and sub-accounting fees:

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