News & Insights: Jeremy McCamic

Jeremy leads the Policy Management team, which is responsible for staying current with regulatory changes and how they impact the firm’s investment adviser clients.

2025 Compliance Program Checklist

There are a number of compliance deadlines that are already set for 2025. Similarly, the 2025 Exam Priorities published by the Division of Examinations and published observations from the commission will continue to be a guide for effective compliance programs. Start your year off on the right foot with our 2025 Compliance Program Checklist.

Compliance Year in Review 2024

Although total enforcement actions declined compared to the 2023 fiscal year, the Division of Enforcement obtained orders of $8.2 billion in financial remedies. This is the highest amount in SEC history.

SEC Risk Alert: Registered Investment Companies Examination Focus Areas and Document Requests

On November 4, 2024, the SEC Division of Examinations (the “Division”) published a Risk Alert to describe the examination process for advisers of mutual funds, ETFs, and other registered investment companies (“RICs” or “funds”); the selection and scope of such examinations; and observations on core focus areas for RICs, The alert also shares a list of the typical documents and information requested during such examinations.

NSCP Currents: Marketing Rule Charges for Testimonials and Endorsements, Third-party Ratings, and Substantiation

On September 9, 2024, the Securities and Exchange Commission (“SEC”) announced settled charges againstnine registered investment advisers for violations of Rule 206(4)-1 under the Investment Advisers Act of 1940(the “Marketing Rule”)

SEC Charges for Endorsements, Hypothetical Performance and Green-Washing

On November 1, 2024, the SEC Division of Enforcements charged Wahed Invest, LLC (“Wahed”), a registered investment adviser, for violating the Marketing Rule. 

2025 Examination Priorities Published by SEC Division of Exams

On October 21, 2024, the SEC’s Division of Examinations (“EXAMS”) published its 2025 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and this fiscal year marks the 30th anniversary of the creation of the Division of Examinations, originally established as the Office of Compliance Inspections and Examinations.

2025 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.

SEC Charges Adviser for Making False and Misleading Statements About Use of Artificial Intelligence

What happened? On October 10, 2024, The SEC announced charges against Rimar Capital USA, Inc. […]

Here Comes Form SHO

January 2025 is the first month that must be monitored, and if thresholds are crossed then the first Form SHO filing will be due February 14, 2025.

SEC Charges Advisory Firm for Failure to Timely Distribute Audited Financial Statements and for the Use of Misleading Hedge Clauses

On September 3, 2024, the SEC announced charges against ClearPath Capital Partners, LLC, for failing to comply with rules governing the safekeeping of client assets and for its use of impermissible liability disclaimers in its advisory and private fund agreements.

Click below to view General Filing Deadlines and SEC Holidays

Regulatory Calendar

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