News and Alerts Archives - Page 2 of 6

High Demand for Mock Exams

NEWS AND ALERTS Brief Introduction Firms continue to face a regulatory environment that has seen a record number of rule releases, billions in financial punishments, […]

Key Takeaways from House Committee Letter to SEC Chairman

NEWS AND ALERTS Brief Introduction On June 28th, the House Financial Services Committee sent a letter to SEC Chairman, Gary Gensler, related to document requests […]

RIAs Understand the Importance of Compliance to Their Success

NEWS AND ALERTS Brief Introduction In a recent article by InvestmentNews, RIAs throughout the industry report on the importance of compliance to their success. At […]

IAA Argues Against SEC Proposals

NEWS AND ALERTS Brief Introduction The Investment Adviser Association (“IAA”) has publicized their disagreement with four SEC proposals regarding investment advisers. The proposals are related to protecting customer information, […]

AI Use for Private Equity Firms remains Questionable

News and Alerts Brief Introduction Compliance officers of Private Equity Funds have generally taken a cautious approach to allowing employees to use artificial intelligence (“AI”). […]

ESG Issues Remain Major Focus for SEC Investigations

News and Alerts Brief Introduction The SEC has yet to finalize their proposals related to ESG disclosure. However, Firms that advertise ESG in their materials should be prepared to […]

SEC Marketing Rule Enforcements Appear Inevitable

News and Alerts Brief Introduction The SEC Marketing Rule has been in full effect with a compliance date of November 4th, 2022. Recently, the Investment Adviser Association (“IAA”) […]

Gensler Defends SEC Private Fund Proposals at MFA Forum

News and Alerts Brief Introduction SEC Chairman, Gary Gensler, spoke in front of the Managed Funds Association (“MFA”) about the reasoning behind the multiple SEC proposals affecting […]

SEC Chairman’s Agenda Has No Intention Of Stopping

News and Alerts Brief Introduction SEC Chairman, Gary Gensler, discussed multiple topics in a recent interview with InvestmentNews. He addressed the growing number of critics from leaders in both […]

SEC Commissioner Peirce Comments On SEC Agenda

News & Alerts Brief Introduction SEC Commissioner Hester Peirce commented on a host of issues during a CFA Society of Washington’s annual dinner. Peirce had a […]

Firms may Struggle to meet SEC Compliance Deadlines

News and Alerts Brief Introduction As the SEC pushes to finalize over twenty rules and amendments in 2023. Firms with limited resources may struggle to meet the compliance […]

Prepare for More On-Site SEC Exams in 2023

News and Alerts Brief Introduction The Deputy Director of the SEC Division of Examinations has verbalized the intention to significantly increase the number of On-Site Examinations for the year, […]