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.

SEC Requirement: Annual Amendment for Form ADV 2021

The SEC requires that investment advisers file a form ADV Annual Amendment within 90 days of the end of the fiscal year.

Flash Reports
01 Mar, 2021

Six New Data Privacy Bills That Could Become Law in 2021

State mandated data privacy regulations are constantly evolving to meet the needs of the changing cybersecurity landscape.

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.

SEC Restores Investigative Powers for Senior Enforcement Staff

The Acting Chair of the U.S. SEC, Allison Herren Lee, announced that the regulator has granted investigative powers to the enforcement division.

Flash Reports
05 Feb, 2021

Lessons from the SolarWinds Breach to Enhance Your Cybersecurity and Vendor Management Programs

Remediation efforts have been underway for two months after the burgeoning SolarWinds attack. Findings indicated the breach affected around 1,800 companies.

Flash Reports
26 Jan, 2021

SonicWall Issues and Retracts Alert of Hackers Exploiting Zero-Day Vulnerability Within SonicWall VPN

SonicWall, a company providing firewalls and other cybersecurity solutions, issued an alert indicating that it had found a probable zero-day vulnerability with its SMA 100 series products on Jan. 22, 2021.

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.

Flash Reports
14 Jan, 2021

Hackers Use Mimecast Certificate to Access Microsoft Accounts

On Jan. 12, 2021, the cloud-based email security and management provider Mimecast disclosed that one of its digital certificates was hacked.

The DOL’s New Fiduciary Rule Exemption: What You Should Know

DOL finalized its new fiduciary rule exemption to allow advisers to receive compensation for otherwise prohibited rollovers.