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SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles WHAT HAPPENED? In response to the unusual state of global securities infrastructures stemming from COVID-19, the SEC is continuing to provide regulatory relief to struggling entities. This week, the SEC expanded on a recently released relief package to extend [...]

SEC Exams Now Focusing on Firms’ Pandemic Plans

SEC Exams to Focus on Firms’ Pandemic Plans WHAT HAPPENED? Despite the sweeping effects of COVID-19, the SEC is continuing enforcement efforts and is still initiating examinations. In response to the pandemic, there is a heightened focus on firms’ business continuity planning and practices. KEY [...]

COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation

A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation ***UPDATE*** On March 23 and 25, 2020, the SEC released further extended dates for the items listed below.  WHAT HAPPENED? While the international COVID-19 outbreak continues to affect the lives of the [...]

COVID-19 UPDATE: How the SEC Continues Its Response Efforts

COVID-19 UPDATE: How the SEC Continues Its Response Efforts WHAT HAPPENED? As efforts to contain the COVID-19 virus expand worldwide, the SEC is remaining focused on maintaining a fair and orderly market and continuing its own operations. The Commission has transitioned most of its staff to work remotely and [...]

COVID-19: What Financial Regulatory Bodies Are Saying

COVID-19: What Financial Regulatory Bodies Are Saying WHAT HAPPENED? On March 11, 2020, the World Health Organization (WHO) declared COVID-19 is now classified as a pandemic. Between WHO, the Centers for Disease Control and Prevention (CDC), and other similar organizations, efforts are being made to halt the spread of [...]

Exam Takeaways: Five Facts About Recent Examination Practices

Exam Takeaways: Five Facts About Recent Examination Practices WHAT HAPPENED? When the Securities and Exchange Commission initiates an examination of your firm, it is important to be prepared for possible timeframes and requests. Below are some patterns from the SEC’s examination tactics in the last year: [...]

Form CRS: The Latest Tips for Preparing – UPDATE!

Form CRS: The Latest Tips for Preparing – UPDATE! WHAT HAPPENED? On Feb. 11, 2020, the Securities and Exchange Commission released a set of new Frequently Asked Questions about Form CRS. Among other useful information, the FAQs address that adviser affiliates of a registered adviser may jointly file a [...]

Exam Takeaways: SEC and DOL Joint Exams

Exam Takeaways: SEC and DOL Joint Exams WHAT HAPPENED? Regulatory requirements and expectations for firms are constantly evolving; with that, examination practices are changing as well. An emerging approach to routine examinations includes exam teams from both the Securities and Exchange Commission and the Department of Labor collaborating on [...]

What Does OCIE Look for When Examining Cybersecurity Practices?

What Does OCIE Look for When Examining Cybersecurity Practices? WHAT HAPPENED? In recent years, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission made cybersecurity a top priority when examining all types of firms. As the use of digital technology becomes more essential to [...]