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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SEC Chairman Clayton Provides Statement on Cryptocurrency and Initial Coin Offerings

SEC Chairman Jay Clayton released a statement on cryptocurrencies and initial coin offerings (ICO) to guide as both markets continue to expand. 

Private Equity Firm Charged with Failure to Disclose Accelerated Portfolio Monitoring Fees

The SEC charged a private equity fund adviser (“Respondent”) with failing to disclose accelerated portfolio monitoring fees adequately. 

SEC Charges Stock Trader with Insider Trading

The SEC charged a stock trader with generating over $1 million in illegal insider trading profits.  Defendant collaborated with four former colleagues, posing as portfolio managers, to persuade investment bankers to share nonpublic information regarding upcoming secondary offerings.

SEC Modifies Final Rule for Form N-PORT

The SEC has adopted a temporary final rule that will delay the compliance dates for filing a Form N-PORT.

Adviser Charged with Defrauding Clients

the SEC charged a dually registered investment adviser and broker-dealer, with defrauding its clients and receiving $780,000 in ill-gotten gains.

Department of Labor Announces 18-Month Delay of the Fiduciary Rule

The Department of Labor has announced that the applicability date of the Fiduciary Rule’s Best Interest Contract Exemption, the Principal Transactions Exemption and specific amendments to Prohibited Transaction Exemption 84-24 (PTE)s have been delayed from Jan.1, 2018, to July 1, 2019.

Division of Enforcement Releases Annual Report

On November 15, 2017, the SEC’s Division of Enforcement released its annual report for Fiscal Year 2017 (“FY 2017”).

SEC Charges Unregistered Fund Manager

Unregistered investment adviser and its principals charged with engaging a fund in conflicted transactions without providing disclosure to the investors.

SEC Grants Relief to Broker-Dealers and Investment Advisers

The SEC released three no-action letters that will provide 30 months of relief under the Investment Advisers Act of 1940 for US broker-dealers under the second Markets in Financial Instruments Directive (“MiFID II”).

Natural Disasters Emphasize Need for Business Continuity and Transition Plans

Advisers should prioritize the implementation of written business continuity and transition plan to minimize operational disruptions arising from natural disasters, data security breaches, and the departure of important personnel. To maximize the efficiency of the written business continuity and transition plan, advisers should focus on a variety of business components

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