News & Insights: Trading & Valuation

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

Digital assets continue to be a hot topic among regulators as these securities gain momentum in the marketplace.

2021 SEC Examination Priorities: What You Should Know

On March 3, 2021, the Division of Enforcement of the U.S. SEC (the Division) released its list of 2021 Examination Priorities.

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.

OCIE Risk Alert: common compliance program issues

OCIE released a Risk Alert outlining common compliance concerns among registered investment advisers. The list was compiled based on recent compliance examinations of advisers.

OCIE examiners report common branch office compliance deficiencies

The OCIE released a new Risk Alert outlining recent observations from examinations of SEC-registered investment advisers.

Nine Things to Notice: SEC Examiners’ Focus Areas

As capital markets shift and the risks to market participants change, so do the focus areas of routine SEC exams.

OCIE: Private Fund Risk Alert

The OICE, released a Risk Alert that outlines recently observed compliance issues among private fund advisers. Over a third of SEC-registered advisers manage private funds, marking them as a special focus for OCIE.

SEC Chairman Clayton Provides Statement on Cryptocurrency and Initial Coin Offerings

SEC Chairman Jay Clayton released a statement on cryptocurrencies and initial coin offerings (ICO) to guide as both markets continue to expand. 

SEC Charges Stock Trader with Insider Trading

The SEC charged a stock trader with generating over $1 million in illegal insider trading profits.  Defendant collaborated with four former colleagues, posing as portfolio managers, to persuade investment bankers to share nonpublic information regarding upcoming secondary offerings.

Adviser Charged with Defrauding Clients

the SEC charged a dually registered investment adviser and broker-dealer, with defrauding its clients and receiving $780,000 in ill-gotten gains.

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