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
As we predicted in our February 2nd Communique, the SEC is proposing new rules that will significantly impact private fund advisers if adopted. The February
While there is a lot of buzz this week related to the Proposed Amendments to Form PF, we are mindful that final rules often look very
SEC Chairman Gary Gensler spoke last week, at the Northwestern Pritzker School of Law’s Annual Securities Regulation Institute. After providing a brief history lesson of the first
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
