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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Six Ways to Help Protect Your Firm from a Cybersecurity Breach

Between the changes in our work devices and the large influx of pandemic-related news, many emerging vulnerabilities exist in companies’ data security landscapes.

UPDATE: SEC Provides Guidance on Advisory Firms Accepting PPP Loans

Many investment advisers have applied for or accepted a Paycheck Protection Program (“PPP”) loan for their firm.

SEC Proposes Rule to Modernize Fund Valuation Practices

The SEC is taking steps to improve the requirements. The rule intends to aid retail investors in gaining fair and complete information about their fund investments by making fund information more accurate and accessible.

NSCP Currents- "Pandemic Planning: Preparing Your Firm to Respond to COVID-19"

The National Society of Compliance Professionals shares how to plan and prepare your firm during a pandemic.

SEC Makes Updates to Regulatory Relief Guidance

The SEC updated a set of frequently asked questions (“FAQs”) to guide COVID-19 regulatory relief.

Annual FINRA Entitlement User Accounts Certification – 2020

he FINRA Entitlement Program requires an annual review and certification of user accounts to ensure that all persons with access to FINRA applications, such as the IARD portal, are approved by the Super Account Administrator (SAA) of the adviser.

10 Things to Document When Implementing Your Business Continuity Plan

In the COVID-19 pandemic, widespread shutdowns and stay-at-home orders are in place. Under these circumstances, maintaining thorough documentation of your firm’s Business Continuity Plan implementation is critical.

Risk Alerts From OCIE: Form CRS and Reg BI

OCIE released two Risk Alerts to address upcoming compliance expectations for the new Form CRS and Regulation Best Interest requirements. OCIE acknowledges that the COVID-19 pandemic has created unusual issues for firms but will continue to conduct examinations as usual.

SEC Updates Custody Rule FAQs to Address COVID-19 Concerns

The SEC updated FAQs on custody rule requirements in response to the pandemic.

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.

Click below to view General Filing Deadlines and SEC Holidays

Regulatory Calendar

Stay up to date on the latest industry news and resources.

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