The Commission has significantly expanded their scope and request of items pertaining to advisers’ marketing content. We have recently gone through a number of exams
On Friday, March 10, 2023, Silicon Valley Bank (“SVB”) was seized by the Federal Deposit Insurance Corporation (“FDIC”). SVB, a prominent lender in the world
Yesterday, the SEC proposed rule changes designed to enhance protections of assets managed by Registered Investment Advisers. If adopted, the changes would update the Advisers
Last week, the SEC’s Division of Examinations (the Division) announced its 2023 National Exam Priorities. The SEC identified several broad areas of focus highlighting four
On January 30, 2023, the U.S. Securities and Exchange Commission Division of Examinations released a Risk Alert regarding Regulation Best Interest (“Reg BI”). Focused on
On January 30, 2023, the U.S. Securities and Exchange Commission (“SEC”, “Commission”) proposed amendments to its ethics rules that govern the Commission’s employees, their spouses,
The SEC recently announced a settlement with Bloomberg Finance L.P. (“Bloomberg”) in regard to civil charges accusing the company of providing misleading disclosures relating to
SEC Compliance Consultants, Inc. (SEC3) is pleased to announce the addition of a new Director of Operations, Ji Kim. As Director of Operations, Ji will
The SEC recently charged a former BlackRock portfolio manager for failing to disclose a conflict of interest. The portfolio manager was found to have requested
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
