While there is a lot of buzz this week related to the Proposed Amendments to Form PF, we are mindful that final rules often look very
SEC Chairman Gary Gensler spoke last week, at the Northwestern Pritzker School of Law’s Annual Securities Regulation Institute. After providing a brief history lesson of the first
We want to take the opportunity to wish all of our clients, friends, and colleagues the absolute best year ahead. As we move into 2022,
The SEC Division of Enforcement recently released its 2021 Annual Report for the fiscal year ended this past September. The report, taking an abbreviated form
Investment Advisers that serve retail investors are required to maintain Form CRS and deliver it to each such retail investor. According to Rule 204-5 of
The SEC brought sanctions against three firms (and related entities) registered as broker-dealers, investment advisers, or both, for cybersecurity failures. Between 2017 and 2021 each firm experienced
As we wrote last month, the SEC has been full throttle in targeting firms for enforcement for failing to file and deliver Form CRS where
SEC staffers have long asserted that their efforts are informed by a risk-based assessment in selecting registrants for examination. A key component of this has
The SEC is full throttle ahead currently targeting multiple firms for enforcement related to failure to file Form CRS. The SEC originally gave companies some
New York recently adopted new regulations covering registration and examination requirements for investment advisers and their representatives. Notably, these requirements are applicable both to investment adviser
