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
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...
September 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
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges
The SEC has fined a registered investment adviser that provides global securities pricing and evaluations to its advisory clients through subscription options for failing to adopt and implement written policies and procedures...
January 05, 2021
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs
The SEC’s examination staff in the Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert providing an overview of notable compliance issues identified in a sample of...
November 19, 2020
Signaling an intention to focus on suitability of adviser and broker-dealer recommendations to place retail clients in complex products, the SEC on November 13 brought and settled its first actions...
November 17, 2020