ESG Disclosure and Materiality Reminders for RIAs
ESG Disclosure and Materiality Reminders for RIAs WHAT HAPPENED? Climate and environmental, social, and governance (ESG) topics continue to gain prevalence in capital markets, especially when it comes to [...]
The SEC’s Bitcoin Futures Warning
The SEC’s Bitcoin Futures Warning WHAT HAPPENED? Last week, the SEC released a statement pertaining to funds investing in Bitcoin futures. Market participants have pushed for cryptocurrency ETFs in [...]
Adviser Facing Jury Trial for Securities Laws Violations
Adviser Facing Jury Trial for Securities Laws Violations WHAT HAPPENED? An exempt reporting adviser (“ERA”) and related private fund were recently investigated by the SEC for a variety of [...]
SEC Director of Enforcement Resigns After One Week – What Now?
SEC Director of Enforcement Resigns After One Week – What Now? WHAT HAPPENED? Last month, the SEC announced Chairman Gary Gensler appointed Alex Oh to be Director of the [...]
SPACs: What the SEC Wants You to Know
SPACs: What the SEC Wants You to Know WHAT HAPPENED? Special-purpose acquisition companies, or SPACs, have recently surged in popularity and the SEC is paying attention. These vehicles are [...]
No Need to Report Certain Home Offices on Form ADV
No Need to Report Certain Home Offices on Form ADV WHAT HAPPENED? The U.S. Securities and Exchange Commission released an FAQ statement clarifying there is no need to report [...]
Key Takeaways from the SEC’s ESG Risk Alert
Key Takeaways from the SEC’s ESG Risk Alert WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission released a Risk Alert outlining specific compliance concerns associated with environmental, social, [...]
Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts
Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts WHAT HAPPENED? The owner and principal of an Indiana-based investment advisory firm was recently fined by the U.S. [...]
Firm Principal Fined by the SEC for Supervisory Violations
Firm Principal Fined by the SEC for Supervisory Violations WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission charged a California-based adviser with several compliance failures related to supervisory [...]
Compliance Considerations for RIAs and BDs Trading Digital Asset Securities
Compliance Considerations for RIAs and BDs Trading Digital Asset Securities WHAT HAPPENED? Digital assets continue to be a hot topic among regulators as these securities gain momentum in the [...]
UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?
UPDATE: The SEC’s Marketing Rule is Officially Published – What Now? WHAT HAPPENED? On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was [...]
2021 SEC Examination Priorities: What You Should Know
2021 SEC Examination Priorities: What You Should Know WHAT HAPPENED? On March 3, 2021, the Division of Enforcement of the U.S. Securities and Exchange Commission (the Division) released its [...]
SEC Requirement: Annual Amendment for Form ADV
SEC Requirement: Annual Amendment for Form ADV WHAT HAPPENED? The SEC requires that investment advisers file a form ADV Annual Amendment within 90 days of the end of the [...]
Six New Data Privacy Bills That Could Become Law in 2021
Six New Data Privacy Bills That Could Become Law in 2021 WHAT HAPPENED? State mandated data privacy regulations are constantly evolving to meet the needs of the changing cybersecurity [...]
Large Trader Compliance Risks For Investment Advisers and Broker-Dealers
Large Trader Compliance Risks For Investment Advisers and Broker-Dealers WHAT HAPPENED? Recently, the Division of Enforcement of the U.S. Securities and Exchange Commission released a list of common compliance [...]
SEC Restores Investigative Powers for Senior Enforcement Staff
SEC Restores Investigative Powers for Senior Enforcement Staff WHAT HAPPENED? On Feb. 9, 2021, the Acting Chair of the U.S. Securities and Exchange Commission, Allison Herren Lee, announced in [...]
