Blog
SEC “Likely” to Adopt Private Fund Adviser Rule on August 23rd
News and Alerts Brief Introduction Under the Sunshine Act, the SEC has given notice that it will hold an open meeting on Wednesday, August 23rd at 10:00am. It is highly […]
Read MoreNew Cybersecurity Rule Compliance Dates
News and Alerts Brief Introduction The SEC recently adopted a new rule related to Cybersecurity disclosure. Their release reported that the enforcement dates would rely on the […]
Read MoreOff-Channel Communication Still a Major Regulatory Focus
NEWS AND ALERTS Brief Introduction BNP Paribas, along with its broker-dealer, has agreed to an undisclosed fine with regulators related to employee off-channel communications. It […]
Read MoreSEC Will Increase Examiners With Budget Increase
NEWS AND ALERTS Brief Introduction SEC Chairman, Gary Gensler, spoke with senators last week about his plans for the $194 million dollar increase in funds […]
Read MoreHigh 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, […]
Read MoreRIAs 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 […]
Read MoreESG 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 […]
Read MoreSEC 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”) […]
Read MoreSEC 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 […]
Read MoreSEC 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 […]
Read MoreFirms 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 […]
Read MorePrepare 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, […]
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