Happy New Year!
January 19, 2022
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We want to take the opportunity to wish all of our clients, friends, and colleagues the absolute best year ahead. As we move into 2022,
We want to take the opportunity to wish all of our clients, friends, and colleagues the absolute best year ahead. As we move into 2022,
The SEC Division of Enforcement recently released its 2021 Annual Report for the fiscal year ended this past September. The report, taking an abbreviated form
Investment Advisers that serve retail investors are required to maintain Form CRS and deliver it to each such retail investor. According to Rule 204-5 of
As we wrote last month, the SEC has been full throttle in targeting firms for enforcement for failing to file and deliver Form CRS where
SEC staffers have long asserted that their efforts are informed by a risk-based assessment in selecting registrants for examination. A key component of this has
The SEC is full throttle ahead currently targeting multiple firms for enforcement related to failure to file Form CRS. The SEC originally gave companies some
New York recently adopted new regulations covering registration and examination requirements for investment advisers and their representatives. Notably, these requirements are applicable both to investment adviser
December 23, 2020 The SEC finally adopted their long-awaited modernization to investment adviser marketing rules. The adopting release can be found here, and the language of
We want to take the opportunity to share a few significant items put out by the SEC last month. Enforcement Annual Report On November 2,
We promised to revisit COVID-19/pandemic specific risks for the near future given we know all current SEC exams are considering these risks. Our last communique
