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...
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...
SEC Exam Focus Updates 2020
We have had several clients who have had SEC exams recently despite the social distancing measures i...
Working From Home
COVID-19 has forced a new, global reality upon us. The breadth has yet to be fully comprehended. One...
OCIE’s 2020 NATIONAL EXAM PROGRAM PRIORITIES
With the best intentions, on January 7th, the Securities and Exchange Commission’s (“Commission...
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
Today the SEC Division of Enforcement released its 2019 Annual Report for the fiscal year ended this...
Disclosure Can Be SO Scary
SEC staff recently published their FAQs regarding financial conflicts and adviser compensation. Whil...
SEC3 Updates
SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018...
OCIE RISK ALERT – Insight Into Supervision Related Expectations
Last week, the SEC shared feedback in a Risk Alert, Observations from Examinations of Investment Adv...
Have You Documented Your Data Storage Vendor Due Diligence?
On May 23, 2019 the Office of Compliance Inspections and Examinations (“OCIE”) issued a risk ale...