News & Insights: Jeremy McCamic

Jeremy leads the Policy Management team, which is responsible for staying current with regulatory changes and how they impact the firm’s investment adviser clients.

SEC Charges for Endorsements, Hypothetical Performance and Green-Washing

On November 1, 2024, the SEC Division of Enforcements charged Wahed Invest, LLC (“Wahed”), a registered investment adviser, for violating the Marketing Rule. 

2025 Examination Priorities Published by SEC Division of Exams

On October 21, 2024, the SEC’s Division of Examinations (“EXAMS”) published its 2025 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and this fiscal year marks the 30th anniversary of the creation of the Division of Examinations, originally established as the Office of Compliance Inspections and Examinations.

2025 IARD Annual Renewal Message

Every year at this time, Renewal Statements for advisers are posted in the IARD Portal. These fees are collected for system processing and jurisdiction-related renewals.

SEC Charges Adviser for Making False and Misleading Statements About Use of Artificial Intelligence

What happened? On October 10, 2024, The SEC announced charges against Rimar Capital USA, Inc. […]

Here Comes Form SHO

January 2025 is the first month that must be monitored, and if thresholds are crossed then the first Form SHO filing will be due February 14, 2025.

SEC Charges Advisory Firm for Failure to Timely Distribute Audited Financial Statements and for the Use of Misleading Hedge Clauses

On September 3, 2024, the SEC announced charges against ClearPath Capital Partners, LLC, for failing to comply with rules governing the safekeeping of client assets and for its use of impermissible liability disclaimers in its advisory and private fund agreements.

SEC Charges BD and Affiliated IAs with Violating Whistleblower Protection Rule

What happened? On September 4, 2024, the SEC announced settled charges against three affiliated registrants, […]

SEC Charges Nine Investment Advisers in Ongoing Marketing Rule Sweep

On September 9, 2024, the SEC announced settled charges against nine registered investment advisers (“RIAs”) for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or testimonials, endorsements, or third-party ratings that lacked required disclosures. Combined, these nine RIAs agreed to pay $1,240,000 in civil penalties.

FinCEN Finalizes AML Rule for SEC Registrants and Exempt Reporting Advisers

On August 28, 2024, the Treasury Department’s Financial Crimes Enforcement Network (FinCEN) finalized the AML rule. The final rule has a few changes from the proposed rule announced in February.

SEC Adopts Rule to Adjust Qualifying Venture Capital Fund Threshold for Inflation

On August 21, 2024, the SEC adopted a rule that updates the threshold for a fund to qualify as a “qualifying venture capital fund” under the Investment Company Act.

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