We certainly hope that everyone had a wonderful holiday season and is well rested. I recently found myself interrupted during time I had allocated to
Happy Thanksgiving! It is a beautiful time of year when we focus even more on being grateful for all the blessings in our lives. Gratitude
Tomorrow, FTF is hosting a webinar: Mastering Trade-Related Communications Monitoring. Janaya Moscony will moderate the panel. The webinar will discuss the difficulty firms are facing in navigating
The SEC announced charges in a September 28 release against 15 prominent brokerage firms and an adviser for failures related to maintenance of books and records for
In a September 19, 2022 SEC Risk Alert, advisers have been put on notice for compliance with the modernization to investment adviser marketing rules. The title
July 2022 By Janaya Moscony, Brian Robling and John Lukan Click here to read the full article. SECCC
The EXAMS staff at the SEC recently released a Risk Alert on the topic of material non-public information and adviser Codes of Ethics. Long cited
May 2022 By Janaya Moscony, Brian Robling and John Lukan Click here to read the full article. SECCC
The 2022 Examination Priorities (“2022 Priorities”) covered many areas of compliance risk under the “focus area” headings, but also highlighted new SEC perspectives as reflected
As we predicted in our February 2nd Communique, the SEC is proposing new rules that will significantly impact private fund advisers if adopted. The February
