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The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule.
The US Federal Reserve's report on the collapse of Silicon Valley Bank highlights the need for stronger banking oversight and regulation. The report also criticizes a Trump-era law that rolled back some banking regulations and calls for tougher rules around interest-rate risk, liquidity, and capital requirements.
Key Points - The SEC’s Division of Examinations published a risk alert that, in the context of a focus on MNPI, highlighted observed deficiencies related to the use of al...
To embed, copy and paste the code into your website or blog: Throughout the year, every year, the SEC’s Divisions of Examinations (f.k.a. OCIE) (the “Examinations Division”) and Enforcement (the “Enforcement Division”) each respectively release guidance, observations, and priorities explanations, most of which cover recurrent themes and perennial topics. Some are more salient and universally useful than others. In November 2020, the staff of the Examinations Division (“Examinations Staff”) issued two risk alerts (the “Alerts”) that, in our view, offer particularly helpful ...