Risk Alert News Today

This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers.

On April 17, 2024, the Securities and Exchange Commission's (SEC) Division of Examination (Division) issued a Risk Alert to provide information about investment advisers...

BEIJING (REUTERS) - China lifted the risk alert warning on bird flu in Serbia, the General Administration of Customs announced on Tuesday. "The risk alert on highly pathogenic avian influenza in Serbia will be lifted," according to a statement. The inspection and quarantine requirements for Serbian poultry and its products exported to China shall be formulated separately, the statement added.

On April 17th, the SEC issued a Risk Alert titled “Initial Observations Regarding Advisers Act Marketing Rule Compliance.” Perusing the list of failures, a sense of familiarity arose,...

Last week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations…

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is...

On April 5, 2024, a federal jury in the Northern District of California found defendant Matthew Panuwat liable for insider trading in the Securities and Exchange Commission’s (“SEC”)...

On April 17, 2024 the Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) issued a Risk Alert regarding investment advisers’ compliance with amended...

Who may be interested: Registered-Investment Companies; Investment Advisers; Broker-Dealers - Quick Take: In May 2023, the SEC adopted several Rules and Rule amendments...

On 27 March 2024, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to Rule 203A-2(e) under the Investment Advisers Act of 1940 (Advisers Act).