Compliance Challenges in the Age of Crypto
This article discusses the risks and obligations that investment advisers should carefully consider before choosing to provide investment advice related to crypto assets.
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
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
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 to the clients in writing before the completion of each transaction the capacity in which it was acting and obtaining transaction-by-transaction client consent.
September 22, 2021
The SEC has fined a dual-registrant 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 product in discretionary advisory accounts.
July 20, 2021
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges
The SEC has fined a registered investment adviser for failing to adopt and implement written policies and procedures reasonably designed to detect problems with its securities pricing.
January 05, 2021
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs
OCIE has issued a Risk Alert providing an overview of notable compliance issues identified in a sample of deficiency letters from recent adviser exams.
November 19, 2020
The SEC brought and settled its first actions in connection with the Division of Enforcement’s Exchange-Traded Products Initiative.
November 17, 2020