The SEC is early to the game releasing the 2024 Exam Priorities just eight months after the 2023 Exam Priorities. Aside from the fact that the
Last week, the Securities and Exchange Commission announced the settlement of charges against a registered investment adviser for violating Rule 21F-17(a) of the Securities Exchange
Last week, the Securities and Exchange Commission announced the approval to revise regulations under the Privacy Act and enhancements to the Investment Company Act “Names
Last week, the U.S. Securities and Exchange Commission announced charges against nine registered investment advisers for holding out hypothetical performance on public websites without adopting
Yesterday, the Securities and Exchange Commission (“SEC”) adopted amendments to Form PF that affect advisers to all private equity funds and large hedge fund advisers.
Last Friday, the Securities and Exchange Commission (SEC) reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting. The
Tips for SEC Exam Preparedness Before the SEC comes in: Once you are notified of an Exam: New for 2023: SEC³
The Securities and Exchange Commission (“SEC”) issued a Risk Alert on March 27, 2023, Observations from Examinations of Newly Registered Advisers. The Risk Alert focuses
The Commission has significantly expanded their scope and request of items pertaining to advisers’ marketing content. We have recently gone through a number of exams
In February, the SEC’s Division of Examinations announced its 2023 National Exam Priorities. The following article outlines the SEC3 Team’s take on how compliance officers
