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...
SEC3 Updates
SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018â€...
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2 (PDF)...
OCIE RISK ALERT – Insight Into Supervision Related Expectations
Last week, the SEC shared feedback in a Risk Alert, Observations from Examinations of Investment Adv...