February 11, 2022
Reduce 13D / 13G filing deadlines to 5 days Require annual cyber security plan reviews Require private fund advisers to…
Author: Keith Marks
February 11, 2022
Release No. Date Details First Quarter 33-11028 Feb. 10, 2022 Modernization of Beneficial Ownership ReportingFile No: S7-06-22Other Release No: 34-94211Comments…
December 22, 2021
The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…
November 8, 2021
On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers…
July 27, 2021
The SEC twice reminded 27 RIAs and BDs to meet Form CRS requirements before starting enforcement actions. The firms have…
June 1, 2021
On May 3, Investment News Magazine published an editorial titled “ESG Regulations in Europe map a clear path for the…
March 11, 2021
On March 5, 2021, the new Marketing Rule for SEC registered RIAs was published in the Federal Register. The effective date…
December 22, 2020
In late 2022, SEC registered investment advisers will be required to comply with new marketing and client solicitation rule-making, adopted…
December 2, 2020
SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with…
October 12, 2020
On October 8, 2020 the SEC published updated FAQs regarding the disciplinary question in Form CRS. In an unusual step,…
April 7, 2020
The SEC today issued Risk Alerts identifying areas related to Form CRS and Regulation BI on which examiners will focus…
March 19, 2020
The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…
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