Form CRS Exam Sweep & Enforcement
As we wrote last month, the SEC has been full throttle in targeting firms for enforcement for failing to file and deliver Form CRS where
First Impressions & New Registrant Examinations
SEC staffers have long asserted that their efforts are informed by a risk-based assessment in selecting registrants for examination. A key component of this has
SEC Form CRS Enforcement Directed Sweep in Full Swing
The SEC is full throttle ahead currently targeting multiple firms for enforcement related to failure to file Form CRS. The SEC originally gave companies some
New York Requiring Representatives of Federally Covered RIAs and Solicitors to Register
New York recently adopted new regulations covering registration and examination requirements for investment advisers and their representatives. Notably, these requirements are applicable both to investment adviser
Webinar: Changes on the Horizon—Being Prepared for Regulatory Expectations and Evolving Trends in 2021
Date: Wednesday, February 17, 2021 Time: 2:00 PM Eastern Standard Time Please join the following speakers for an interactive discussion covering evolving trends in 2021 and regulatory
SEC’s Holiday Gift–New Advertising Rule Adopted
December 23, 2020 The SEC finally adopted their long-awaited modernization to investment adviser marketing rules. The adopting release can be found here, and the language of
Staying Current – SEC Updates
We want to take the opportunity to share a few significant items put out by the SEC last month. Enforcement Annual Report On November 2,
Business Continuity & Succession Plans
We promised to revisit COVID-19/pandemic specific risks for the near future given we know all current SEC exams are considering these risks. Our last communique
Virtual Chief Compliance Officer Roundtable: Fall 2020 Update
Online via WebEx October 27, 2020 10:00–11:30 a.m. ET Please join Blank Rome Partners and Investment Management Group Co-Chairs Thomas R. Westle and Stacy H.
Electronic Communications–What Should CCOs Be Asking?
We promised last week to help you dissect your compliance program to be sure you are ready to answer related questions from regulators and institutional investors. Let’s
How Would You Rate Your Pandemic Risk Assessment & Testing Program?
As the magnitude of the measures being taken to mitigate the spread of COVID-19 began to shake financial markets and the very way people do
SEC Expands Scope of Examinations to Include COVID-19
SEC Expands Scope of Examinations to Include COVID-19 (PDF)
