The Office of Compliance Inspections and Examinations (OCIE) issued a risk alert July 11 targeting investment advisers’ most common deficiencies with regard to their best
The final week of June was a busy one for SEC releases following the SEC’s June 28th open meeting. Among these was a revisit of
On June 1st, the SEC announced settlements with 13 RIAs who repeatedly failed to file Form PF reports. Most of these firms never filed over
The industry should not misinterpret the SEC’s 2018 National Exam Program Priorities as a shift away from private fund advisers. As discussed during the SEC’s
The pool of registered investment advisers that will be subject to an SEC exam in 2018 is at the highest level seen in years. The
On August 25, 2016, the U.S. Securities and Exchange Commission adopted numerous substantive and technical amendments to Form ADV. While the adopting release required advisers
While asset managers should always be aware of the protections provided by their E&O/ D&O coverage, there are more reasons than ever to think about
Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you. SEC3 is teaming up with industry
Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service for
We hope each of you found some peace and tranquility in the company of loved ones this holiday season and want to wish one-and-all a
