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.

SEC Updates Marketing Rule FAQ

On March 19, 2025, the SEC updated its Marketing Rule FAQ with new guidance on extracted performance and information on how to navigate the performance versus investment characteristic question.

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SEC Revises Marketing FAQ to Address Private Fund Net Performance

On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.

SEC Risk Alert on Prevention of Identity Theft and Reg S-ID

The Division of Examinations (“EXAMS”) issued a Risk Alert to assist firms with identity theft prevention programs required under Regulation S-ID.

Goldman Sachs Fined $4M for Policy Failures of ESG Investments

The SEC charged Goldman Sachs Asset Management, LP, with maintaining inadequate and inaccurate policies governing its ESG investment strategies.

NSCP Currents: PTE 2020-02 Retrospective Reviews

Firms must conduct an annual retrospective review, NSCP Currents provides perspective on the annual retrospective review for exemptive relief under PTE 2020-02.

The SEC’s New Proxy Rule: What You Need to Know

On November 2, 2022, the Securities and Exchange Commission (SEC) adopted rule and form amendments.

SEC New Marketing Rule Compliance Date Reminder

Investment advisers can no longer choose to comply with previous advertising and cash solicitation rules following the Nov. 4, 2022, compliance deadline for the new Marketing Rule, rule 206(4)-1, under the Advisers Act.

2023 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.

CISA Issues Guidance on Numbers Matching and Phishing-Resistant Multifactor Authentication

The CISA published two fact sheets on October 31, 2022, outlining the dangers to accounts and systems when applying specific types of MFA.

SEC Proposes New Rule on Outsourcing by Investment Advisers

On Wednesday, Oct. 26, 2022, the SEC proposed a new rule and amendments regarding the due diligence of service providers.

Typosquat Campaign Mimics 27 Brands to Push Windows, Android Malware

A massive typosquat campaign has come to light with over 200 typosquatting domains impersonating 27 brands to push Windows and Android malware.

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