SEC Proposes Extensive Amendments to Form ADV as Well as New Reporting Requirements for RIAs and RICs
On May 20, 2015, the SEC unanimously approved extensive proposed amendments to Form ADV that, if adopted, would require registered investment advisers to provide new
SEC Continues Heavy Focus on Private Equity
The SEC is continuing to focus heavily on the private equity sector, reminding advisers in this space to be mindful of their practices. On May
SEC Issues New Cybersecurity Guidance for Investment Advisers and Investment Companies
The SEC’s Division of Investment Management recently released new guidance to registered investment advisers and investment companies regarding cybersecurity. The SEC has previously identified cybersecurity
Your CCO May Now Have An Incentive to Turn You In
The Securities and Exchange Commission today announced an award of more than a million dollars to a compliance officer who believed that disclosure to the
SEC Charges Advisor with Failing to Disclose Conflict of Interest to Clients and Fund Boards
The SEC has charged an advisor with failing to disclose a conflict of interest to their clients and fund boards. In this significant case, the
SEC Warns of Using Confidentiality Language to Stifle Whistleblowers
On April 1, 2015, the Securities and Exchange Commission announced its first ever enforcement action against a company for violating Dodd Frank’s whistle blower rules. In
SEC Reminds Advisers of the Need for Gifts and Entertainment Policies
In February 2015, the SEC’s Division of Investment Management issued guidance to the public with respect to the conflict of interest that arises when individuals
Miami Compliance Roundtable
When: March 30th 2015 Where: Kaufman Rossin Fund Services | 2699 Bayshore Drive, Miami FL 33133 Please join SEC3, Kaufman Rossin Fund Services, and Morgan,
SEC to Conduct Second Phase of Cybersecurity Sweep
After completing a sweep of 100 firms focusing on preparedness concerning cybersecurity in 2014 and subsequently releasing their summary findings in February 2015, the SEC
Permanent Bars as an Effective Deterrent
At the SEC Speaks 2015 Program on February 20, 2015, two SEC Commissioners gave their personal remarks on the Commission seeking permanent bars on wrongdoers
Adviser Sanctioned for Inadequate Compliance Policies and Procedures
In January 2015, the SEC settled an action against a registered investment adviser who agreed to several findings of violations of the Investment Adviser Act
NSCP Canadian Conference
When: March 4th 2015 (8:00am-4:00pm) Where: St. Andrew’s Club & Conference Centre | 150 King Street West Toronto, Ontario M5H 1J9 What: NSCP Toronto Regional Conference Irshad
