SEC Risk Alert Archives

SEC Risk Alert | Marketing Rule Compliance

SEC Releases Introduction On the heels of last week’s SEC announcement of 5 RIAs being charged for Marketing Rule Violations, on Wednesday, April 17th, the Division of Examinations (the […]

Risk Alert for Investment Advisers | SEC Releases

SEC Releases Brief Introduction The SEC Division of Examinations (“Division” or “EXAMS”) recently published a Risk Alert to give additional information about the Risk-Based Approach the Division takes for selecting Registered […]

New SEC Risk Alert on the Marketing Rule

SEC Releases Brief Introduction In an increasingly aggressive regulatory environment, many compliance professionals are erring on the side of caution when interacting with the new Marketing […]

SEC Releases Risk Alert for Newly Registered Advisers

SEC Releases Brief Introduction The SEC released a Risk Alert on March 27th, related to Newly-Registered Advisers, focusing on what areas are frequently investigated during Examinations and what Compliance Problems […]

SEC Issues Risk Alert Related to Regulation Best Interest

SEC Releases Brief Introduction The SEC’s Regulation Best Interest deadline passed on June 30th, 2020. Under this regulation, there has been an enhancement of the expectations […]

SEC Risk Alert for Identity Theft Under Regulation S-ID

SEC Releases Brief Introduction The SEC published a risk alert on December 5th related to Regulation S-ID after recent Compliance Examinations of Investment Advisers and Broker Dealers. Regulation S-ID […]