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 Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

The SEC adopted amendments to Regulation S-P requiring broker-dealers, investment companies, registered investment advisors, and transfer agents to implement and maintain policies and procedures regarding an incident response program that are designed to detect, respond, and recover from unwarranted access or use of client information.

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SEC Charges Investment Adviser for Misleading Retail Investors

The SEC charged a registered investment adviser and its CEO with distributing investor money in precarious investments and hiding the substantial commissions made in return.

Three Investment Advisers Settle with SEC on Campaign Contribution Charges

Rule 206(4)-5 of the Advisers Act specifically prohibits investment advisers from providing advisory services for compensation to a government entity for two years after the adviser makes a campaign contribution.

OCIE Releases List of Most Common Best Execution Issues Cited in Adviser Exams

On July 11th, 2018, the OCIE released a risk alert outlining the most common deficiencies cited in adviser examinations regarding best execution obligations.  The risk alert summarizes issues identified in deficiency letters from over 1,500 adviser examinations.

SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule

The SEC settled proceedings against two registered investment advisers, three investment adviser representatives and a marketing consultant for distributing advertisements containing testimonials on the internet.

SEC Votes on Whistleblower Rule Amendments

The whistleblower program, established in 2010, was created to give individuals an incentive to report “high-quality tips” to the Commission. 

RIA Settles Charges of Multi-Million Dollar Scheme

A final consent judgment was entered against a Washington-based investment adviser (“Defendant”) after he misled more than 100 investors to invest in his funds by providing fraudulent information in breach of his fiduciary duty.

SEC Charges Advisory Firm with Conflict of Interest Fine

The SEC announced that an investment adviser agreed to pay $8 million in civil penalty fees for failing to disclose conflicts of interest to its advisory clients.

SEC Orders Cease-and-Desist to Registered Investment Adviser for Multiple Violations of the Advisers Act

On June 4th, 2018, the SEC released its order instituting administrative and cease-and-desist proceedings against a registered investment adviser (“Respondent”) found to be in multiple violations of the Advisers Act.

SEC Proposed Regulation Best Interest: Its Impact on Broker-Dealers

The SEC voted on a proposal known as Regulation Best Interest, a set of rules and interpretations intended to improve the quality and transparency of investors’ relationships with investment advisers and broker-dealers while protecting access to a variety of investment relationships and products.

SEC Charges Hedge Fund Adviser with Deceiving Investors by Inflating Fund Performance

The SEC announced its charges against a registered investment adviser for “inflating the value of private funds it advised by hundreds of millions of dollars.

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