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 ...
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...