News & Insights: Risk Alert

SEC Risk Alert on Compensation Conflicts: What Your Compliance Program Should Address

On June 9, 2026, the SEC Division of Examinations published the first Risk Alert of 2026. The Risk Alert is aimed at investment adviser conflicts of interest from compensation, revenue, or other economic benefits.

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SEC Risk Alert: 5 Annual Compliance Review Deficiencies Investment Advisers May Need to Fix

On September 14, 2026, the SEC Division of Examinations published a Risk Alert on observations of investment advisers’ annual compliance reviews. Although registered investment advisers have had to conduct annual compliance reviews for over twenty years, the SEC observed a number of deficiencies that investment advisers should consider as they complete these reviews.
  • SEC
  • 16 Jul, 2026

SEC Settlement Over Undisclosed Conflicts: What It Means for Your IARs

On July 13, 2026, the SEC announced settled charges against a former registered investment adviser representative (“IAR”) for failing to adequately disclose conflicts of interest in connection with advisory clients’ investments.

SEC Risk Alert on Compensation Conflicts: What Your Compliance Program Should Address

On June 9, 2026, the SEC Division of Examinations published the first Risk Alert of 2026. The Risk Alert is aimed at investment adviser conflicts of interest from compensation, revenue, or other economic benefits.

SEC Risk Alert: Common Marketing Rule Violations in Testimonials and Ratings

the SEC Division of Examinations published the first risk alert of 2025. The risk alert provides additional information on compliance with the Marketing Rule.

Risk Alert Examiner’s Observations on the Marketing Rule

On April 17th, 2024, the Division of Examinations (“EXAMS”) published a risk alert to inform investment advisers, investors, and other market participants about the examiner’s observations on the Marketing Rule. This risk alert highlights the Division’s focus on advisers’ compliance with the marketing rule and their completion of the marketing rule items contained in Form ADV as well as Advisers Act Rule 206(4)-7 (the “Compliance Rule”), Advisers Act Rule 204-2 (the “Books and Records Rule), and the Marketing Rule’s “General Prohibitions”.
  • SEC
  • 15 May, 2023

SEC Risk Alert on Observations of LIBOR-Transition Preparedness

On May 11, 2023, the SEC’s Division of Exams (“EXAMS”) published a Risk Alert to remind registrants of the discontinuation of U.S. Dollar LIBOR after June 30, 2023. The Risk Alert also discussed firms’ practices to manage the transition.

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.
  • SEC
  • 28 Apr, 2022

Risk Alert on MNPI

Restrictions on the use of material non-public information are one of the cornerstones of the SEC’s regulatory framework.

Wrap Fee Program Compliance Risks: The SEC’s Latest Guidance

What happened? The SEC recently released a Risk Alert outlining common compliance concerns among advisers’ […]

Key Takeaways from the SEC’s ESG Risk Alert

SEC is expanding efforts to provide advisers with guidance on compliance considerations for the ESG marketplace. Learn how we can help.

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