News & Insights

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

SEC
12 Jun, 2026
Jeremy McCamic

SEC Risk Alert: Undisclosed Economic Conflicts of Interest

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.

Flash Reports
15 Jul, 2021

16 States Reviewing Data Privacy Regulations

State data privacy regulations are continuously evolving to catch up with the ever-increasing risks to consumers on the web.

Flash Reports
13 Jul, 2021

Kaseya Attack: What You Should Know and How You Should Respond

It was recently discovered that Kaseya’s VSA software had an unknown, zero-day vulnerability in the software which was exploited for an attack.

SEC Appoints New Director of Enforcement, Gurbir S. Grewal

The SEC issued a press release announcing the appointment of New Jersey Attorney General, Gurbir S. Grewal, as the Commission’s new Director of Enforcement.

Flash Reports
29 Jun, 2021

Cisco ASA & Firepower Threat Defense Vulnerability Exploited

A cybersecurity firm published a Proof of Concept (PoC) exploit on Cisco’s Adaptive Security Appliance, showing security weaknesses in the software.

Flash Reports
24 Jun, 2021

Inaccurate Performance Information Leads to SEC Charges

Potential harm to investors could have been avoided if the firm had proper compliance controls in place.

ESG Disclosure and Materiality Reminders for RIAs

Climate and environmental, social, and governance topics continue to gain prevalence in capital markets, especially with evolving regulatory expectations.

Flash Reports
27 May, 2021

DarkSide, Ransomware, and the Colonial Pipeline Attack: 8 Practical Ways to Lock Down Your Data

When bad actors initiated a ransomware attack on the Colonial Pipeline network this month, panic-struck consumers emptied gas pumps across the Southeast.

Flash Reports
20 May, 2021

The SEC’s Bitcoin Futures Warning

The SEC released a statement pertaining to funds investing in Bitcoin futures. Market participants have pushed for cryptocurrency ETFs in recent years.

Adviser Facing Jury Trial for Securities Laws Violations

An exempt reporting adviser (“ERA”) and related private fund were recently investigated by the SEC for a variety of securities laws violations.

Flash Reports
04 May, 2021

SEC Director of Enforcement Resigns After One Week – What Now?

Last month, the Securities and Exchange Commission announced Chairman Gary Gensler appointed Alex Oh to be Director of the Division of Enforcement.