SEC examiners will conduct “a number of specific national initiatives” that focus on the new Marketing Rule.
On September 9, 2022, the SEC charged several investment advisers who failed to comply with requirements regarding safekeeping client assets.
The SEC announced its plans for the 2022-2026 Fiscal Years with three primary goals, their sub-groups are posted in the SEC’s Draft FY22-26 Strategic Plan.
On August 26, 2022, KAI. settled with the SEC for almost $900,000 following an order instituting administrative and cease-and-desist proceedings against KAI.
Investment advisers with references to cash solicitation arrangements in their Form ADV Part 2A Brochure under Rule 206(4)-3.
On August 26, 2022 the SEC adopted two amendments to the rules guiding its whistleblower program, according to a press release from the SEC.
EXAMS published the second ever risk alert aimed at private funds, which encouraged strengthening compliance programs and disclosed practices.
SEC’s Division of Exams staff have been requesting information on advisers’ use of electronic signatures. Find out what you need to know.
The new rule allows firms to use third-party ratings in their marketing materials, provided that their use complies with the general prohibitions and provides the required disclosures.
Our series of Flash Reports addresses common questions RIAs may have about the new rule and its impact on compliance. If you have questions, we can help.
