Form CRS Exam Sweep & Enforcement
As we wrote last month, the SEC has been full throttle in targeting firms for enforcement for failin...
First Impressions & New Registrant Examinations
SEC staffers have long asserted that their efforts are informed by a risk-based assessment in select...
SEC Form CRS Enforcement Directed Sweep in Full Swing
The SEC is full throttle ahead currently targeting multiple firms for enforcement related to failure...
New York Requiring Representatives of Federally Covered RIAs and Solicitors to Register
New York recently adopted new regulations covering registration and examination requirements for inv...
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...
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...