SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
June 30, 2022
From Orange Groves to Digital Assets, the SEC Doubles Efforts on Crypto Enforcement
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May 25, 2022
President Biden’s Executive Order on Responsible Development of Digital Assets
President Biden has signed an Executive Order outlining a whole-of-government approach to addressing the risks and harnessing the potential benefits of digital assets.
March 29, 2022
Birdthistle, Crenshaw Headline IAA Compliance Conference
The SEC’s Crenshaw and Birdthistle spoke at the 2022 IAA Investment Adviser Compliance Conference about cybersecurity, cryptocurrency, and other digital topics.
March 24, 2022
Key Crypto Trends to Watch in 2022
As cryptocurrency continues to gain popularity, there are several key issues that advisers should keep in mind as they work with their clients.
March 18, 2022
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
SEC’s Office of the Investor Advocate Announces Objectives for 2022
The SEC’s Office of the Investor Advocate, headed by Rick Fleming, has laid out its policy agenda for protecting and promoting the interests of retail investors in its annual...
July 07, 2021
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