News & Insights: Flash Reports

More than just the facts, Flash Reports provide context for what’s currently happening in the industry and translate that into what it means for your business.

Compliance Year in Review 2024

Although total enforcement actions declined compared to the 2023 fiscal year, the Division of Enforcement obtained orders of $8.2 billion in financial remedies. This is the highest amount in SEC history.

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Cybersecurity Awareness Month: Four Things You Can Do

Cyberattacks are now seen as the biggest risk to businesses. One of the best ways to combat these threats is for organizations to educate employees about cyber and data security.

16 Wall Street Firms Charged by the SEC for Widespread Recordkeeping Failures

The SEC charged 16 firms for widespread and longstanding failures to maintain and preserve electronic communications.

NSCP Currents: Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules

The Proposed Cyber Rules codify the requirement for advisers to maintain comprehensive cybersecurity policies and procedures and adhere to certain disclosure and recordkeeping requirements.

Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million

On Sept. 20, 2022, the SEC charged MSSB regarding the firm’s failures to protect the PII of approximately 15 million customers over a five-year period.

SEC Risk Alert on the New Marketing Rule: Act Now to Prepare

SEC examiners will conduct “a number of specific national initiatives” that focus on the new Marketing Rule.

SEC Charges Two Advisory Firms for Custody Rule Violations Among Other Violations

On September 9, 2022, the SEC charged several investment advisers who failed to comply with requirements regarding safekeeping client assets.

The SEC’s Strategic Plan for 2022-2026 Fiscal Years

The SEC announced its plans for the 2022-2026 Fiscal Years with three primary goals, their sub-groups are posted in the SEC’s Draft FY22-26 Strategic Plan.

SEC Fines Adviser in Wrap Fee Program Dispute

On August 26, 2022, KAI. settled with the SEC for almost $900,000 following an order instituting administrative and cease-and-desist proceedings against KAI.

Division of Examinations Notice: Rule 206(4)-3 (Cash Payments for Client Solicitations) Rescission and your ADV Brochure

Investment advisers with references to cash solicitation arrangements in their Form ADV Part 2A Brochure under Rule 206(4)-3.

The SEC Adopts New Amendments to its Whistleblower Program

On August 26, 2022 the SEC adopted two amendments to the rules guiding its whistleblower program, according to a press release from the SEC.

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