SEC Tag

Financial firms have a bigger target on their backs at the moment, according to a new risk alert issued July…

Recently, the SEC announced the settlement of an enforcement case against Morgan Stanley Smith Barney (MSSB) involving charges that MSSB…

Easy Pickings But Maybe Also Warnings of Valuation Expectations Even With COVID-19 Difficulties   Now that we are nearly into…

Recently, the SEC settled with a private equity adviser for failing to adequately disclose and obtain consent for conflicts of…

It has been 50 years since the SEC last addressed valuation practices for funds registered under the Investment Company Act…

The SEC today issued Risk Alerts identifying areas related to Form CRS and Regulation BI on which examiners will focus…

We understand that COVID-19 has brought many stresses, both personal and professional.  To many private fund advisers, this may seem…

The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…

Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…

In advance of National Data Privacy Day today, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE)…

Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s…

Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of…