News & Insights: Tripp Marriott

As Director of Risk Review, Tripp reviews and updates adviser risk assessment / testing protocols based on regulatory updates, guidance from the SEC, and exam experience.

The SEC’s Latest Exam and Request List Trends

Some focus areas, like cybersecurity and business continuity, are more relevant than ever with the changes to how business is conducted worldwide.

5 Proposed Rules from the SEC That Could Affect Your Firm

The Securities and Exchange Commission released its latest regulatory agenda, which outlines the commission’s pending rules and regulations.

Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.

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.

Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers

President Biden recently named Gary Gensler as his pick to be the new chairman of the Securities and Exchange Commission.

Investments in Certain Chinese Companies Restricted Under New Executive Order

The U.S. Securities and Exchange Commission issued a Risk Alert in response to an Executive Order regarding investments in certain Chinese companies.

The Top 10 Regulatory Headlines for Investment Advisers

Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.

Firm Fined for Violating Custody Rule and Miscalculating Performance Fees

The U.S. SEC charged a private fund adviser with violating sections of the Advisers Act governing performance fee calculations.

SEC Exam Trends: 5 Areas of Focus for RIAs

Examiners may focus on certain compliance risks that have been identified or those itemized in a Risk Alert.

Private fund adviser ordered to pay over $1 million after violating partnership agreement

The SEC sanctioned a registered investment adviser for violating antifraud provisions of the Advisers Act. The violations stemmed from the adviser overcharging limited partners of a private equity fund it managed.

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Regulatory Calendar

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