SECCC Communiques, Latest from SEC May 5, 2022 Investment Adviser MNPI Compliance Issues The EXAMS staff at the SEC recently released a Risk Alert on the topic of material non-public inform... Read More
SECCC Communiques, SEC Exam Documents April 14, 2022 2022 Examination Priorities The 2022 Examination Priorities (“2022 Priorities”) covered many areas of compliance risk under ... Read More
SECCC Communiques February 18, 2022 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... Read More
SECCC Communiques, Latest from SEC February 7, 2022 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... Read More
SECCC Communiques February 2, 2022 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... Read More
SECCC Communiques January 19, 2022 Happy New Year! We want to take the opportunity to wish all of our clients, friends, and colleagues the absolute bes... Read More
SECCC Communiques December 3, 2021 Enforcement Trends – Fiscal Year 2021 The SEC Division of Enforcement recently released its 2021 Annual Report for the fiscal year ended t... Read More
SECCC Communiques September 24, 2021 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 ... Read More
SECCC Latest from SEC September 13, 2021 SEC Sanctions Firms over Cybersecurity Incident Responses The SEC brought sanctions against three firms (and related entities) registered as broker-dealers,... Read More
SECCC Communiques, Latest from SEC July 28, 2021 Form CRS Exam Sweep & Enforcement As we wrote last month, the SEC has been full throttle in targeting firms for enforcement for failin... Read More