Communiques

COVID-19 has forced a new, global reality upon us. The breadth has yet to be fully comprehended. One of the new realities is the significant

With the best intentions, on January 7th, the Securities and Exchange Commission’s (“Commission”) Office of Compliance Inspections and Examinations (“OCIE”) shared the National Exam Program

Today the SEC Division of Enforcement released its 2019 Annual Report for the fiscal year ended this past September. The recap shows that enforcement actions

SEC staff recently published their FAQs regarding financial conflicts and adviser compensation. While not carrying the full weight of formal rulemaking, the guidance provides useful

SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018’s Share Class Selection Disclosure Initiative and a broader look

Last week, the SEC shared feedback in a Risk Alert, Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest (“

On May 23, 2019 the Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying frequent security risks associated with the storage of

In line with the OCIE’s National Exam Priorities targeting its examination efforts to prevent harm to retail investors the SEC announced March 11, 2019, that

In a first time release, stemming from agency initiatives to improve its relationship with regulated entities, the Commodity Futures Trading Commission (CFTC) recently announced its

While we know you prefer a box of chocolates today instead of this industry update on compliance, this one is a gift and hence, will