Communiques

On September 15, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) issued a new Risk Alert relating to cybersecurity. This Risk Alert reemphasized the intention

The Financial Crimes Enforcement Network (FinCEN) proposed on August 25, 2015, a rule that would require certain registered investment advisers to have in place anti-money

The SEC announced on Tuesday charges against 32 defendants involved in an unprecedented illicit scheme deployed in the US and overseas. The scheme involved hacking

The Securities and Exchange Commission recently charged a private equity firm for misallocating more than $17 million of “broken deal” expenses. Broken deal expenses are

By Janaya Moscony, CFA; Irshad Karim; Linda Smith; Claire Owens, SEC Compliance Consultants Published: NSCP Currents May 2015 The SEC has made cybersecurity a significant

The SEC recently settled a proceeding brought against an investment adviser firm, its former President, and other principals at the firm where the compliance function

On May 20, 2015, the SEC unanimously approved extensive proposed amendments to Form ADV that, if adopted, would require registered investment advisers to provide new

The SEC is continuing to focus heavily on the private equity sector, reminding advisers in this space to be mindful of their practices. On May

The SEC’s Division of Investment Management recently released new guidance to registered investment advisers and investment companies regarding cybersecurity. The SEC has previously identified cybersecurity

The Securities and Exchange Commission today announced an award of more than a million dollars to a compliance officer who believed that disclosure to the