Investments in Certain Chinese Companies Restricted Under New Executive Order
Investments in Certain Chinese Companies Restricted Under New Executive Order WHAT HAPPENED? On Jan. 6, 2021, the U.S. Securities and Exchange Commission issued a Risk Alert in response to [...]
The DOL’s New Fiduciary Rule Exemption: What You Should Know
The DOL’s New Fiduciary Rule Exemption: What You Should Know WHAT HAPPENED? Recently, the U.S. Department of Labor (DOL) finalized its new fiduciary rule exemption, which will allow advisers [...]
Scam Risks in 2021 and How to Avoid Them
Scam Risks in 2021 and How to Avoid Them Cybercriminals are becoming increasingly sophisticated and continue to find new ways to compromise both individuals’ and firms’ data security. Phishing attacks [...]
The SEC’s New Marketing Rule: Here’s What You Should Know Now
The SEC’s New Marketing Rule: Here’s What You Should Know Now WHAT HAPPENED? On Dec. 22, 2020, the U.S. Securities and Exchange Commission unanimously voted to pass proposed amendments to [...]
2020 Compliance Round Up: The Top 10 Regulatory Headlines for Investment Advisers This Year
2020 Compliance Round-Up: The Top 10 Regulatory Headlines for Investment Advisers This Year WHAT HAPPENED? Amid the unique changes and challenges 2020 has brought, there has been plenty of [...]
Firm Fined for Violating Custody Rule and Miscalculating Performance Fees
Firm Fined for Violating Custody Rule and Miscalculating Performance Fees WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission charged a private fund adviser with violating sections of the [...]
SEC exam trends: 5 areas of focus for RIAs
SEC exam trends: 5 areas of focus for RIAs WHAT HAPPENED? Although routine examinations may include requests related to any area of your firm’s operations, examiners may focus on [...]
Private fund adviser ordered to pay over $1 million after violating partnership agreement
Private fund adviser ordered to pay over $1 million after violating partnership agreement WHAT HAPPENED? Recently, the United States Securities and Exchange Commission sanctioned a registered investment adviser for [...]
OCIE Risk Alert: common compliance program issues
OCIE Risk Alert: common compliance program issues WHAT HAPPENED? On Nov. 19, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) released [...]
Avoid the risk of using common passwords– make your accounts more secure today
Avoid the risk of using common passwords– make your accounts more secure today WHAT HAPPENS IF I USE COMMON PASSWORDS? Your accounts could be vulnerable to a variety of [...]
OCIE examiners report common branch office compliance deficiencies
OCIE examiners report common branch office compliance deficiencies WHAT HAPPENED? On Nov. 9, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (OCIE) [...]
New Investment Company Act rule updates regulatory requirements for fund of funds arrangements
New Investment Company Act rule updates regulatory requirements for fund of funds arrangements WHAT HAPPENED? Recently, the U.S. Securities and Exchange Commission adopted a new rule and related amendments [...]
IARD Annual Renewal Dates
IARD Annual Renewal Dates WHAT IS COMING UP SOON? Every year at this time, FINRA will post its Renewal Statements in the IARD Portal. These fees are collected for [...]
Reminder: Upcoming SEC Compliance Outreach Seminar
Reminder: Upcoming SEC Compliance Outreach Seminar WHAT HAPPENED? On Thursday, Nov. 19, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission is hosting [...]
Are your documents and website up to ADA standards?
Are your documents and website up to ADA standards? WHAT HAPPENED? Clients and shareholders with auditory, cognitive, neurological, physical, speech, and visual impairments use assistive devices, like screen readers, [...]
SEC proposes exemption for finders helping small businesses raise capital
SEC proposes exemption for finders helping small businesses raise capital WHAT HAPPENED? On Oct. 7, 2020, the U.S. Securities and Exchange Commission proposed a conditional exemption which would allow [...]
