How Would You Rate Your Pandemic Risk Assessment & Testing Program?
As the magnitude of the measures being taken to mitigate the spread of COVID-19 began to shake finan...
SEC Expands Scope of Examinations to Include COVID-19
SEC Expands Scope of Examinations to Include COVID-19 (PDF)...
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...
Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19
Please join us for an upcoming webinar: “Virtual Chief Compliance Officer Roundtable: The Impa...
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...
Chief Compliance Officer Roundtable: Breakfast Briefing – February 25, 2020
When: February 25, 2020 Where: Blank Rome LLP 1271 Avenue of the Americas, 16th Floor New York, NY O...
OCIE’s 2020 NATIONAL EXAM PROGRAM PRIORITIES
With the best intentions, on January 7th, the Securities and Exchange Commission’s (“Commissionâ...
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...