News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

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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Reminder: Annual Form PF filing Due April 30, 2022

Although IARD/PFRD is scheduled to be available Saturday the 30th, we recommend filing be completed by April 29th.

March 2022 Cyber Recap

Significant changes are on the horizon for cybersecurity requirements for investment advisers and other companies in critical infrastructure.

2022 SEC Examination Priorities ESG, Private Funds, Data Security, and Digital Assets

On March 30, 2022, the Division of Examinations (the Division) published its 2022 Examination Priorities.  These annual priorities highlight practices, products, and services that present heightened risks to investors or U.S capital markets.

Shocking Recension and Amendment of the Proxy Adviser Rule Threatens Shareholder Democracy

In November 2021, the U.S. Securities and Exchange Commission’s (the “SEC” or “Commission”) proposed recensions and amendments to the proxy adviser rule under the Investment Advisers Act of 1940.

Adviser Charged with Failing to Disclose Fees and Expenses: Results in nearly $10 million in penalties and reimbursements

On December 20th, a private fund adviser, Global Infrastructure Management, LLC, was charged by the SEC for fee and expense disclosure failures.

CISA Issues “Shields Up” Advisory

CISA issued a “Shields Up” message to every U.S. organization in response to Russia’s unprovoked attack on Ukraine.

SEC Exam Trends

SEC Exam Trends The SEC’s Division of Examinations has conducted a series of exams, coined […]

Cybersecurity Risk Management

The proposed cybersecurity risk management rules codify the requirement for advisers to maintain comprehensive cybersecurity policies and procedures.

SEC Proposes Reforms for Private Funds

The SEC proposed reforms for Private Funds to enhance the regulation of private fund advisers and protect investors in private funds by increasing transparency.

SEC Continues Focus on Private Fund Advisers

As private fund advisers continue to play a larger role in the financial markets, the Division of Examinations published a risk alert of their observations

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