SEC’s Holiday Gift–New Advertising Rule Adopted
December 23, 2020 The SEC finally adopted their long-awaited modernization to investment adviser mar...
Staying Current – SEC Updates
We want to take the opportunity to share a few significant items put out by the SEC last month. Enfo...
Business Continuity & Succession Plans
We promised to revisit COVID-19/pandemic specific risks for the near future given we know all curren...
Virtual Chief Compliance Officer Roundtable: Fall 2020 Update
Online via WebEx October 27, 2020 10:00–11:30 a.m. ET Please join Blank Rome Partners and Investme...
Electronic Communications–What Should CCOs Be Asking?
We promised last week to help you dissect your compliance program to be sure you are ready to answ...
How Would You Rate Your Pandemic Risk Assessment & Testing Program?
As the magnitude of the measures being taken to mitigate the spread of COVID-19 began to shake finan...
SEC Expands Scope of Examinations to Include COVID-19
SEC Expands Scope of Examinations to Include COVID-19 (PDF)...
SEC Releases COVID-19 Compliance Risks and Considerations for IAs and BDs
In a release on August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations ident...
Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19
Please join us for an upcoming webinar: “Virtual Chief Compliance Officer Roundtable: The Impa...
SEC Exam Focus Updates 2020
We have had several clients who have had SEC exams recently despite the social distancing measures i...