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The Securities and Exchange Commission (the SEC) routinely prepares Division Risk Alerts to provide helpful information to federally registered investment advisers (advisers). On March 27...
On March 27, the US Securities and Exchange Commission (SEC) released a risk alert focusing on the SEC’s conclusions after its routine examination of newly registered investment...
The Securities and Exchange Commission (the SEC) routinely prepares Division Risk Alerts to provide helpful information to federally registered investment advisers (advisers). On March...
Securities and Exchange Commission released risk alert focusing on SEC conclusions after its routine examination of newly registered investment advisors. purpose of examinations is not to bring enforcement actions but opportunity for engagement between advisers and staff
To embed, copy and paste the code into your website or blog: As 2020 finally comes to a close, 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 updating the firm’s compliance policies and procedures to reflect relevant changes to regulations and regulatory guidance. Here’s a cheat sheet for Chief Compliance Officers summarizing the SEC’s big-ticket items from 2020. Despite the massive disruption caused by the COVID-19 pandemic, the SEC didn’t skip a beat, movin...