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
Happy Thanksgiving! It is a beautiful time of year when we focus even more on being grateful for all the blessings in our lives. Gratitude
The SEC announced charges in a September 28 release against 15 prominent brokerage firms and an adviser for failures related to maintenance of books and records for
In a September 19, 2022 SEC Risk Alert, advisers have been put on notice for compliance with the modernization to investment adviser marketing rules. The title
The EXAMS staff at the SEC recently released a Risk Alert on the topic of material non-public information and adviser Codes of Ethics. Long cited
The 2022 Examination Priorities (“2022 Priorities”) covered many areas of compliance risk under the “focus area” headings, but also highlighted new SEC perspectives as reflected
