SEC Tag

Can we say that now? That’s what attendees at the recent CSS Compliance Conference in Scottsdale, Arizona wanted to find…

The Securities and Exchange Commission (SEC) has for years stressed that registrants’ disclosure in regulatory filings needs to be written…

If you’ve been considering joining us in Scottsdale for our Sept. 23-25 compliance event, here are seven reasons you should…

For private fund advisers, fee and expense reviews are a cornerstone to a sound compliance program. The SEC repeatedly reinforces…

A sweep of investment advisers is underway by the U.S. Securities and Exchange Commission, which has sent out many letters…

On April 16, 2019, the SEC released a Risk Alert providing a list of compliance issues related to Regulation S-P,…

Rule 206(4)-7 requires each registered adviser to review its policies and procedures no less frequently than annually, to determine their…

One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading…

SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission…

Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….

The Compliance Program Rule continues to be a powerful tool for SEC enforcement, recently used by the SEC to address…

If you wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it,…