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.

New Investment Company Act rule updates regulatory requirements for fund of funds arrangements

Recently, the SEC adopted a new rule and related amendments regarding fund of funds arrangements. Rule 12d1-4, aims to streamline a comprehensive regulatory approach to these arrangements.

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.

Important Upcoming Deadlines for SEC Registered Investment Advisers

There are several key deadlines for SEC-registered investment advisers in the coming weeks, including form distribution and filings, and annual reviews for many.

COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation

While the international COVID-19 outbreak continues to affect the lives of the world’s citizens and, by extension, the United States’ securities infrastructure, the SEC is taking steps to provide relief to firms and funds through delays in form filing and document delivery obligations.

Exam Takeaways: Five Facts About Recent Examination Practices

When the SEC starts an examination of your firm, it is very important to be prepared for possible timeframes and requests. read our flash report to learn about some patterns from the SEC’s examination tactics in the last year.

Exam Takeaways: SEC and DOL Joint Exams

Regulatory requirements and expectations for firms are constantly evolving; with that, examination practices are changing as well. An emerging approach to routine examinations includes exam teams from both the Securities and Exchange Commission and the Department of Labor collaborating on the examination.

IARD and PFRD Systems Inaccessible 3 weekend in April

The SEC announced that the IARD and PFRD systems will be unavailable during three weekends in April, plus Good Friday.

OCIE Announces 2019 Examination Priorities

On December 20, 2018, the SEC’s OCIE announced its 2019 examination priorities.  Key areas include cybersecurity, anti-money laundering (“AML”) programs, retail investors (particularly seniors), and entities providing critical market infrastructure services.

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