Latest SEC Document Request List: What Private Fund Managers Should be Worrying About
Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post
Regulatory Roundup for June 2024
Welcome to our June Regulatory Roundup, where we provide you with a quick look at the latest regulatory developments. In this edition, we discuss the implications of the Fifth Circuit’s striking down the Private Fund Rules, a survey on how much time advisers are spending on compliance with the Marketing Rule, a case study on how not to show fund performance and an SEC settlement where the obligations of Reg BI and fiduciary duty are blurred. Enjoy!
What Advisers Need to Know Now About Giving Rollover Advice after September 23, 2024
The Retirement Security Rules expands ERISA’s stringent fiduciary obligations to cover almost any situation where advice is provided for a fee to a retirement investor where there is an expectation that the advice being given is in the investor’s best interest. The Final Rule covers advisory firms and their representatives providing “fiduciary investment advice” to ERISA and non-ERISA plans, including IRAs.
Regulatory Roundup for May 2024
Check out our regulatory update for May 2024, including Amendments to Regulation S-P, Proposed CIP requirements, the latest SEC Risk Alert on Marketing Rule, and more!
SEC Tells Advisers What Not to Do in Advertisements
The SEC’s Risk Alert provides a list of Marketing Rule deficiencies — a must read!
SEC3 Welcomes Back Robert Tull, Former SEC Staffer and CCO, as Managing Partner
Meet Robert Tull, our newest team member!
Write the Best Annual Compliance Review Ever!
Struggling with your annual review? Check out our top tips!
Top Tips for Updating Your 2024 Compliance Program
Use our cheat sheet for updating your compliance program for 2024!
Capture if you Can: SEC3’s New Director of Thought Leadership Participates in Global Relay Free Webinar on E-Comms Liability
Check out this webinar where we discuss the latest developments on e-communications compliance policies.
SEC Announces Five More Settlements from Marketing Rule Sweep
SEC slams firms for using hypothetical performance on websites. See our analysis.
