SECCC Communiques December 23, 2020 SEC’s Holiday Gift–New Advertising Rule Adopted December 23, 2020 The SEC finally adopted their long-awaited modernization to investment adviser mar... Read More
SECCC Communiques, Latest from SEC December 4, 2020 Staying Current – SEC Updates We want to take the opportunity to share a few significant items put out by the SEC last month. Enfo... Read More
SECCC Communiques November 5, 2020 Business Continuity & Succession Plans We promised to revisit COVID-19/pandemic specific risks for the near future given we know all curren... Read More
SECCC Communiques October 6, 2020 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... Read More
SECCC Communiques August 17, 2020 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... Read More
SECCC Communiques April 8, 2020 SEC Exam Focus Updates 2020 We have had several clients who have had SEC exams recently despite the social distancing measures i... Read More
SECCC Communiques March 23, 2020 Working From Home COVID-19 has forced a new, global reality upon us. The breadth has yet to be fully comprehended. One... Read More
SECCC Communiques January 14, 2020 OCIE’s 2020 NATIONAL EXAM PROGRAM PRIORITIES With the best intentions, on January 7th, the Securities and Exchange Commission’s (“Commissionâ... Read More
SECCC Communiques November 6, 2019 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... Read More
SECCC Communiques October 31, 2019 Disclosure Can Be SO Scary SEC staff recently published their FAQs regarding financial conflicts and adviser compensation. Whil... Read More