On Wednesday, September 6, 2023, the U.S. Securities and Exchange Commission Division of Examinations released a Risk Alert detailing the Division’s examination selection process. For
2023 National NSCP Conference When: October 16-18, 2023 Where: Omni Dallas in Dallas, Texas We are happy to announce our very own our Managing Director,
The SEC not only adopted new rules designed to protect private fund investors this week, but has doubled down and also created a new reporting requirement
On Wednesday, the Securities and Exchange Commission (SEC) proposed amendments to modernize the internet adviser exemption from prohibition on SEC registration for smaller advisers. Investment advisers are
Adopted in November 2022 with a first filing due in August of 2024, the adopted amendments to Form N-PX has flown largely under the radar for
Last week, the Securities and Exchange Commission (“SEC”) announced the settlement of two enforcement actions relating to disclosure and policies and procedures violations involving two
On June 8, 2023, the U.S. Securities and Exchange Commission Division of Examinations released a second Risk Alert concerning amended Rule 206(4)-1 (the “Marketing Rule”).
Yesterday, the Securities and Exchange Commission (“SEC”) charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread failures to maintain and preserve electronic communications in
Tips for SEC Exam Preparedness Before the SEC comes in: Once you are notified of an Exam: New for 2023: SEC³
