As the SEC has been doing at the start of each year in recent years, the SEC announced its examination priorities for the new year.
In her recent keynote address at the Columbia Law School Conference on Current Issues in Securities Regulation (November 21, 2014), Commissioner Kara Stein stressed the
Registered investment advisers with state filings are required to annually renew their state ADV registration or their state notice filings of their federal ADV. They
On October 29, 2014, the SEC charged a registered investment adviser, its two principals and the chief compliance officer with repeated violations of the Custody
The SEC announced that for its fiscal year that ended in September, it filed a record 755 enforcement actions covering a wide range of misconduct,
The SEC’s Divisions of Investment Management and Corporation Finance recently provided guidance (the “Guidance”) to investment advisers regarding their obligations in voting client proxies and
SEC Chair Mary Jo White recently shared steps directors can take to meet various SEC expectations. At the annual Stanford Directors’ College, Chair White highlighted
One of the main goals of any registered firm is to avoid an enforcement action. The more you know about trends with regard to enforcement
As if April 15th wasn’t bad enough? In addition to it being Tax Day, the U. S. Securities Exchange Commission’s (“SEC”) Office of Compliance Inspections
The Securities and Exchange Commission announced on Thursday, February 20th that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at
