The SEC’s “Office of Compliance Inspections and Examinations (“OCIE”) issued an Alert today regarding “Select COVID-19 Compliance Risks for Investment…
COVID-19 Tag
Easy Pickings But Maybe Also Warnings of Valuation Expectations Even With COVID-19 Difficulties Now that we are nearly into…
We understand that COVID-19 has brought many stresses, both personal and professional. To many private fund advisers, this may seem…
Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce…
The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry…
In addition to the SEC providing relief and support to investment advisers, the North American Securities Administrators’ Association (NASAA) and…
On March 25, 2020, the SEC issued a new Order extending and relaxing some of the conditions pertaining to the…
On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in…
During the last week, the CFTC issued several no-action letters aimed at providing temporary relief from certain recordkeeping, operations requirements,…
The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…