July 13, 2020
Financial firms have a bigger target on their backs at the moment, according to a new risk alert issued July…
SEC Tag
May 29, 2020
Recently, the SEC announced the settlement of an enforcement case against Morgan Stanley Smith Barney (MSSB) involving charges that MSSB…
May 27, 2020
Easy Pickings But Maybe Also Warnings of Valuation Expectations Even With COVID-19 Difficulties Now that we are nearly into…
April 30, 2020
Recently, the SEC settled with a private equity adviser for failing to adequately disclose and obtain consent for conflicts of…
April 22, 2020
It has been 50 years since the SEC last addressed valuation practices for funds registered under the Investment Company Act…
April 7, 2020
The SEC today issued Risk Alerts identifying areas related to Form CRS and Regulation BI on which examiners will focus…
April 3, 2020
We understand that COVID-19 has brought many stresses, both personal and professional. To many private fund advisers, this may seem…
March 19, 2020
The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…
February 12, 2020
Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…
January 28, 2020
In advance of National Data Privacy Day today, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE)…
January 17, 2020
Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s…
November 12, 2019
Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of…