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SEC Examinations and Enforcement Update for Registered Investment Advisers: Transparency for SEC Exams, Marketing Rule Sweep, and More Custody Scrutiny | Morrison & Foerster LLP

Published: September 18, 2023

A series of recent actions by the Securities and Exchange Commission (SEC) and its staff should prompt registered investment advisers (RIAs) to reassess their risk tolerance for some...

Source: jdsupra.com

SEC's Division of Examinations Sheds Light Regarding Exam Selection and Scoping | Goodwin

Published: September 13, 2023

On September 6, 2023, the staff of the US Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) issued a risk alert describing how it selects...

Source: jdsupra.com

Daily Financial Regulation Update -- Thursday, September 7, 2023 | Paul Hastings LLP

Published: September 8, 2023

September 6, 2023- The U.S. House Committee on Financial Services announced a hearing entitled, "Oversight of the Committee on Foreign Investment in the United States (CFIUS)...

Source: jdsupra.com