Compliance Challenges in the Age of Crypto
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September 23, 2022
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Given the SEC’s increased scrutiny, it’s vital that advisers make appropriate investments to promote proper supervision and mitigate the risk of supervisory failures.
August 25, 2022
New York-Based Adviser Fined for Causing Brokers to Violate Short Sale Rules
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May 13, 2022
Considerations When Drafting an ESG 80% Policy
Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.
February 14, 2022
Adviser Fined for Custody Rule Violations for Facilitating Loans Between Clients
The SEC has fined a California-based registered investment adviser and its president for custody failures. The president, who was the majority owner of the adviser, facilitated $30 million in loans...
October 07, 2021
SEC Sues Adviser for Violation of Principal Trading Rules
The SEC has settled an enforcement action with a dually-registered investment adviser and broker-dealer for effecting over 200 fixed-income transactions on a riskless principal basis with advisory clients, without disclosing...
September 22, 2021
New Risk Alerts Focus on Wrap Fee Programs, Principal and Cross Trades
The SEC’s Division of Examinations has issued two risk alerts describing the staff’s observations resulting from initiatives on wrap fee programs (Wrap Fee Risk Alert) and principal and cross trades...
July 22, 2021
The SEC has fined a dual-registrant $8 million after finding it did not adopt and implement compliance policies and procedures reasonably designed to prevent the unsuitable use of a volatility-linked-exchange-traded...
July 20, 2021