SEC Form CRS Enforcement Directed Sweep in Full Swing
Understand the SEC’s strict Form CRS enforcement actions. SEC Compliance is crucial to avoid penalties and regulatory scrutiny.
New York Requiring Representatives of Federally Covered RIAs and Solicitors to Register
Stay compliant with New York’s new investment adviser regulations. Learn about registration and examination requirements here.
Webinar: Changes on the Horizon—Being Prepared for Regulatory Expectations and Evolving Trends in 2021
Join industry experts for insights on RIA compliance trends in 2021. Assess evolving regulatory expectations on our SEC compliance webinars.
SEC’s Holiday Gift–New Advertising Rule Adopted
Discover the SEC’s new advertising rules for investment advisers: changes, testimonials, and Form ADV disclosures
Staying Current – SEC Updates
Explore significant SEC updates from November, including the Enforcement Annual Report, SEC Outreach, and Risk Alert on Compliance Program.
Business Continuity & Succession Plans
Discover pandemic BCP updates for SEC exams. Assess key roles, ensure coverage, and enhance compliance testing for better program resilience.
Virtual Chief Compliance Officer Roundtable: Fall 2020 Update
Register for our October 2020 SEC compliance webinar discussing COVID-19 risks, election impact, SEC updates, exams, and enforcement cases.
Electronic Communications–What Should CCOs Be Asking?
Ensure SEC compliance training with electronic communications regulations. Assess new services, platforms, and devices.
How Would You Rate Your Pandemic Risk Assessment & Testing Program?
Explore COVID-19 compliance considerations, including business continuity, remote work procedures, cybersecurity, and more.
SEC Expands Scope of Examinations to Include COVID-19
SEC Releases COVID-19 Compliance Risks and Considerations for IAs and BDs
Learn SEC’s COVID-19 guidance for investment advisers and broker-dealers. Contact us for SEC compliance professional services.
Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19
Please join us for an upcoming webinar: “Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19.”