News & Insights

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

SEC Updates Marketing Rule FAQ

On March 19, 2025, the SEC updated its Marketing Rule FAQ with new guidance on extracted performance and information on how to navigate the performance versus investment characteristic question.

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Firm Misused MNPI, Ordered to Pay $1 Million

On May 26, 2020, the United States Securities and Exchange Commission released documentation detailing an enforcement action against a Los Angeles private equity firm and registered investment adviser, Ares Management, for its misuse of material nonpublic information (MNPI).

Adviser Fined $60,000 for Custody Rule Violation

On May 22, 2020, the SEC published information on an enforcement action against a registered investment adviser. The firm was investigated, and subsequently disciplined by the SEC for violating the Custody Rule.

Six Ways to Help Protect Your Firm from a Cybersecurity Breach

Between the changes in our work devices and the large influx of pandemic-related news, many emerging vulnerabilities exist in companies’ data security landscapes.

UPDATE: SEC Provides Guidance on Advisory Firms Accepting PPP Loans

Many investment advisers have applied for or accepted a Paycheck Protection Program (“PPP”) loan for their firm.

SEC Proposes Rule to Modernize Fund Valuation Practices

The SEC is taking steps to improve the requirements. The rule intends to aid retail investors in gaining fair and complete information about their fund investments by making fund information more accurate and accessible.

NSCP Currents- "Pandemic Planning: Preparing Your Firm to Respond to COVID-19"

The National Society of Compliance Professionals shares how to plan and prepare your firm during a pandemic.

SEC Makes Updates to Regulatory Relief Guidance

The SEC updated a set of frequently asked questions (“FAQs”) to guide COVID-19 regulatory relief.

Annual FINRA Entitlement User Accounts Certification – 2020

he FINRA Entitlement Program requires an annual review and certification of user accounts to ensure that all persons with access to FINRA applications, such as the IARD portal, are approved by the Super Account Administrator (SAA) of the adviser.

10 Things to Document When Implementing Your Business Continuity Plan

In the COVID-19 pandemic, widespread shutdowns and stay-at-home orders are in place. Under these circumstances, maintaining thorough documentation of your firm’s Business Continuity Plan implementation is critical.

Risk Alerts From OCIE: Form CRS and Reg BI

OCIE released two Risk Alerts to address upcoming compliance expectations for the new Form CRS and Regulation Best Interest requirements. OCIE acknowledges that the COVID-19 pandemic has created unusual issues for firms but will continue to conduct examinations as usual.

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