Compliance Challenges in the Age of Crypto
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September 23, 2022
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
Dual-Registrant Fined $8 Million for Insufficient Compliance Policies Related to Volatility-Linked ETP July 20, 2021 The SEC has fined a dual-registrant $8 million after finding it did not adopt...
July 20, 2021
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges Company Found to Have Used Single Broker Quotes without Sufficient Controls January 5, 2021 The SEC has fined a...
January 05, 2021
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs November 19, 2020 The SEC’s examination staff in the Office of Compliance Inspections and Examinations (OCIE) has issued a...
November 19, 2020
SEC Underscores Focus on Suitability of Placing Retail Clients in Complex Products With Enforcement Actions, Formal OCIE Statement November 17, 2020 Signaling an intention to focus on suitability of...
November 17, 2020
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