Author: Korrine Kohm

As a follow up to our Coffee & Regs Podcast episode found here, we wanted to advise RIA that the…

Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…

The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021.  On September…

On July 21, 2021, the SEC’s Division of Examinations released a Risk Alert addressing their observations from examinations of investment…

How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…

Compliance departments were no strangers to constraints during the pandemic. They were yet another area of the investment management industry that felt the effects of the pandemic, specifically with budget and…

When the SEC set out to require registered investment advisers to implement a compliance program and designate a chief compliance…

The new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940) is effective on May 4, 2021, starting…

It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also…

As a compliance professional, the past months have probably been the most challenging of your career. Events, whether COVID-19, significant…

With the discontinuation of LIBOR expected in 2021, the SEC has identified that it will have a significant impact on the financial markets and may present a material risk for SEC-registered investment advisers and broker-dealers.

In addition to the SEC providing relief and support to investment advisers, the North American Securities Administrators’ Association (NASAA) and…