Investment Adviser MNPI Compliance Issues
The EXAMS staff at the SEC recently released a Risk Alert on the topic of material non-public inform...
2022 Examination Priorities
The 2022 Examination Priorities (“2022 Priorities”) covered many areas of compliance risk under ...
What Happened to Regulators Focusing on Retail Clients?
As we predicted in our February 2nd Communique, the SEC is proposing new rules that will significant...
The SEC Continues to Improve its Assessments in the Private Fund Space
While there is a lot of buzz this week related to the Proposed Amendments to Form PF, we are mindfu...
SEC Chairman Gensler Speaks – More Rules and Disclosure?
SEC Chairman Gary Gensler spoke last week, at the Northwestern Pritzker School of Law’s Annual S...
Happy New Year!
We want to take the opportunity to wish all of our clients, friends, and colleagues the absolute bes...
Enforcement Trends – Fiscal Year 2021
The SEC Division of Enforcement recently released its 2021 Annual Report for the fiscal year ended t...
Insights on Form CRS Expectations That You Won’t Find in the FAQs
Investment Advisers that serve retail investors are required to maintain Form CRS and deliver it to ...
SEC Sanctions Firms over Cybersecurity Incident Responses
The SEC brought sanctions against three firms (and related entities) registered as broker-dealers,...
Form CRS Exam Sweep & Enforcement
As we wrote last month, the SEC has been full throttle in targeting firms for enforcement for failin...