The US SEC is allowing investment advisors to rely on chartered trust companies as crypto custodians. This means that any officially approved or licensed trust company can hold cryptocurrencies like ...
In the first half of August, the U.S. Securities and Exchange Commission (SEC) announced settlements with two different registered investment advisers for violations of the Investment Advisers Act of ...
Following up and consistent with public statements earlier this summer, FinCEN has formally proposed a two year delay of the effective date of its 2024 final rule that subjects certain investment ...
The Securities and Exchange Commission announced on Friday it had entered an agreement with Vanguard Advisers, the advisory arm of the giant mutual fund complex, to pay $19.5 million in fines for ...
A group of Democratic lawmakers is pressing the Treasury Department for answers after the agency postponed a key anti-money-laundering rule for investment advisors, raising concerns about the sector’s ...
The U.S. Securities and Exchange Commission has ordered Vanguard Advisers and Empower Advisory Group, along with Empower Financial Services, to pay more than $25 million in combined penalties for ...
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