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
Tags: Marketing Rule, SEC Examinations
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
Tags: SEC Enforcement, SEC Examinations, SEC Investment Management, SEC Outreach
SEC Compliance Outreach Program Scheduled for November 15
The SEC has scheduled a Compliance Outreach Program for advisers and funds on November 15, 2022.
September 22, 2022
Tags: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations
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
Tags: CCO, Compliance, Private Funds, SEC Enforcement, SEC Examinations
Richard Best Named Director of SEC’s Division of Examinations
Richard Best named Director of the SEC’s Division of Examinations.
May 25, 2022
Tags: SEC Appointments, SEC Examinations
SEC Risk Alert Focuses on MNPI and Code of Ethics Compliance Issues
The SEC has issued a risk alert on MNPI and Codes of Ethics.
April 28, 2022
Tags: Code of Ethics, MNPI, SEC Examinations
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
Tags: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions
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
Tags: Advisory Contracts, Hedge Funds, Private Equity, Private Funds, SEC Examinations
Common Triggers of Risk-Based Regulatory Exams and Practice Tips to Avoid Them
Regulatory exams can be painful - and disruptive. The key to avoid being ID'd as a high-risk firm and subject of an exam is to understand the current regulatory red flags.
November 29, 2021
Tags: Columns, SEC Examinations
Gensler Gets Tough on Enforcement Cases, Focuses on “High Impact” Cases
Getting tougher on enforcement, SEC Chair Gary Gensler has outlined principles for the Enforcement Division to consider when reviewing misconduct.
November 22, 2021