News & Insights

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

Regulatory Preparedness 2025: Amended Reg S-P and AML/CFT

As we approach the mid-point of 2025, two compliance deadlines stand out for compliance professionals, amended Regulation S-P and FinCEN’s Anti-money laundering/countering the financing of terrorism Rule (the “AML/CFT” Rule).

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Form CRS: What You Should Know

In April 2018, the SEC released a proposed rule requiring investment advisers to provide a relationship summary to prospective clients. Form CRS, or Form 3, is intended to give retail clients simple information about investment advisers, written clearly, and concisely.

FINRA Cites Unreasonable Email Review

On April 12, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued a settlement with a Salt Lake City-based broker-dealer, due to poorly designed and implemented email review procedures.

FINRA’s 2019 Entitlement User Accounts Certification

The FINRA Entitlement Program requires an annual review specifically evaluates that users have an ongoing need to access FINRA applications, may access only applications which are essential to job functions, and that users are authorized to access sensitive information, if necessary.

OCIE Warns Advisers and Broker-Dealers of Regulation S-P Compliance Issues

Regulation S-P requires registered investment advisers, investment companies, and broker-dealers to provide notice to customers and maintain written records of policies and procedures related to information privacy.

SEC Officials Comment on Evolving Proxy Voting Process

SEC Commissioner Elad Roisman and Director of the Division of Investment Management, Dalia Blass, spoke on the future of the proxy voting process.

Reminder: Annual Brochure Delivery Obligation

For Advisers with a fiscal year ending Dec. 31, the annual brochure delivery deadline is approaching on April 30.

Large Cash Flows versus Significant Cash Flows: Which is Which?

The GIPS standards define a large cash flow as the level at which the firm determines that an external cash flow may distort performance if the portfolio is not valued.

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.

BB&T Subsidiary Must Pay $5.7 Million After Policy Violation

The SEC ordered BB&T Securities to pay $5.7 million following Valley Forge Asset Management’s intentional overcharging of clients.

Best Practices for Meeting the Distribution Requirement

Global Investment Performance Standards (GIPS®) Provision 0.A.9. requires firms to make every reasonable effort to provide a compliant presentation to all prospective clients.

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