SEC Publishes 2024 Examination Priorities
SEC’s 2024 examination priorities include fiduciary duty, disclosure of material facts relating to conflicts of interest, advertising practices, and more.
October 17, 2023
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SEC Issues Risk Alert with Exam Observations Related to LIBOR Transition
The Risk Alert describes examination observations of transition away from LIBOR by the asset management industry.
May 19, 2023
New Marketing Rule: Initial Exam Expectations
Advisers should be prepared for the first round of SEC examinations for compliance with the new marketing rule.
November 28, 2022
Highlights from the SEC’s Outreach Program for Advisers and Funds
Summary of the SEC’s 2022 Investment Adviser/Investment Company National Seminar: Compliance Outreach Program.
November 17, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
May 31, 2022
Richard Best Named Director of SEC’s Division of Examinations
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May 25, 2022
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
SEC Staff Identify Private Fund Adviser Deficiencies
The SEC’s Division of Examinations has issued a Risk Alert with additional key observations of deficiencies in exams of private fund advisers.
February 01, 2022