News & Insights

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

Compliance Year in Review 2024

Although total enforcement actions declined compared to the 2023 fiscal year, the Division of Enforcement obtained orders of $8.2 billion in financial remedies. This is the highest amount in SEC history.

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Hackers Use Mimecast Certificate to Access Microsoft Accounts

On Jan. 12, 2021, the cloud-based email security and management provider Mimecast disclosed that one of its digital certificates was hacked.

The DOL’s New Fiduciary Rule Exemption: What You Should Know

DOL finalized its new fiduciary rule exemption to allow advisers to receive compensation for otherwise prohibited rollovers.

Scam Risks in 2021 and How to Avoid Them

Cybercriminals are becoming increasingly sophisticated and continue to find new ways to compromise both individuals’ and firms’ data security.

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.

The Top 10 Regulatory Headlines for Investment Advisers

Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.

Firm Fined for Violating Custody Rule and Miscalculating Performance Fees

The U.S. SEC charged a private fund adviser with violating sections of the Advisers Act governing performance fee calculations.

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.

Avoid the risk of using common passwords– make your accounts more secure today

Password spray attacks target user accounts by attempting to access hundreds of thousands of accounts with the same common password at once, instead of testing many password combinations on a single account.

Private fund adviser ordered to pay over $1 million after violating partnership agreement

The SEC sanctioned a registered investment adviser for violating antifraud provisions of the Advisers Act. The violations stemmed from the adviser overcharging limited partners of a private equity fund it managed.

OCIE Risk Alert: common compliance program issues

OCIE released a Risk Alert outlining common compliance concerns among registered investment advisers. The list was compiled based on recent compliance examinations of advisers.

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