We have had several clients who have had SEC exams recently despite the social distancing measures in place across the United States. Yes, they were
COVID-19 has forced a new, global reality upon us. The breadth has yet to be fully comprehended. One of the new realities is the significant
When: February 25, 2020 Where: Blank Rome LLP 1271 Avenue of the Americas, 16th Floor New York, NY Our New York office has moved from
With the best intentions, on January 7th, the Securities and Exchange Commission’s (“Commission”) Office of Compliance Inspections and Examinations (“OCIE”) shared the National Exam Program
Today the SEC Division of Enforcement released its 2019 Annual Report for the fiscal year ended this past September. The recap shows that enforcement actions
SEC staff recently published their FAQs regarding financial conflicts and adviser compensation. While not carrying the full weight of formal rulemaking, the guidance provides useful
SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018’s Share Class Selection Disclosure Initiative and a broader look
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2 (PDF) SECCC
Last week, the SEC shared feedback in a Risk Alert, Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest (“
PRACTICE NOTE: D&O Liability Insurance Considerations for Financial Institutions (PDF) SECCC
