News & Insights: Jeremy McCamic

Jeremy leads the Policy Management team, which is responsible for staying current with regulatory changes and how they impact the firm’s investment adviser clients.

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?

On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was published in the Federal Register.

2021 SEC Examination Priorities: What You Should Know

On March 3, 2021, the Division of Enforcement of the U.S. SEC (the Division) released its list of 2021 Examination Priorities.

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.

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.

Regulatory Freeze Could Bring Changes to New SEC Marketing Rule

On Jan. 20, 2021, President Biden’s first day in office, the White House issued a memorandum indicating a regulatory freeze.

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.

The SEC’s New Marketing Rule: Here’s What You Should Know Now

SEC amendments to the advertising and cash solicitation rules could bring significant changes to investment advisers.

SEC Exam Trends: 5 Areas of Focus for RIAs

Examiners may focus on certain compliance risks that have been identified or those itemized in a Risk Alert.

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.

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