News & Insights: Compliance Administration

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles

The SEC expanded on a recently released relief package to extend due dates for certain filings and documentation.

SEC Exams Now Focusing on Firms’ Pandemic Plans

In response to the pandemic, the SEC has a heightened focus on firms’ business continuity planning and practices.

COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation

While the international COVID-19 outbreak continues to affect the lives of the world’s citizens and, by extension, the United States’ securities infrastructure, the SEC is taking steps to provide relief to firms and funds through delays in form filing and document delivery obligations.

COVID-19 UPDATE: How the SEC Continues Its Response Efforts

As efforts to contain the COVID-19 virus expand worldwide, the SEC remains focused on maintaining a fair and orderly market and continuing its operations. The Commission has transitioned most of its staff to work remotely and conducts remote exams and enforcement.

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.

Exam Takeaways: SEC and DOL Joint Exams

Regulatory requirements and expectations for firms are constantly evolving; with that, examination practices are changing as well. An emerging approach to routine examinations includes exam teams from both the Securities and Exchange Commission and the Department of Labor collaborating on the examination.

SEC Requirement: Annual Amendment for Form ADV 2020

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

SEC Comments on Emerging ESG Compliance Concerns

The SEC has increased its focus on socially responsible “environmental, social, and governance” funds, or ESG funds. In 2019, the amount of funds investing in ESGs nearly tripled compared to 2018, and there are no signs of the trend slowing down.

By the Numbers: SEC Division of Enforcement Publishes FY2019 Report

the Division of Enforcement of the SEC released their annual report including detailed information about the Commission’s enforcement efforts for fiscal year 2019. The Commission is focused on protecting retail investors, who are often particularly vulnerable to misconduct in the securities market.

SEC Proposes Changes to Advertising and Solicitation Rules

On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation rules under the Investment Advisers Act.

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