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11-09-2020
BLOG, Business, Compliance
COVID-19 Brings Risks – and we aren’t talking Health Risks
Advisers registered with the SEC have faced several challenges through the Coronavirus pandemic. These have come operationally, technologically, commercially, and
31-08-2020
Business, Compliance
Let the Exams Continue..
The Securities and Exchange Commission has created the Event and Emerging Risks Examination Team (EERT) in the Office of Compliance
25-08-2020
BLOG, Business, Compliance
“Law without penalty is advice.”
The Securities and Exchange Commission recently announced that Interactive Brokers LLC will pay an $11.5 million penalty to settle charges
04-08-2020
BLOG, Business, Compliance
SEC Adopts Amendments to Procedures for Exemptive Relief
The SEC is frequently receiving applications for exemptions or other relief for funds. These exceptions provide important economic benefits to
16-07-2020
BLOG, Business, Compliance
40 Years Without Change to Form 13F. Overdue? Absolutely!
On July 10th, the SEC proposed changes to Form 13F to update the threshold for institutional investment managers and make
03-07-2020
Uncategorized
What are you missing in your management of Private Funds?
The OCIE is frequently asked about their findings in the examination process of RIAs that manage private equity funds or
05-06-2020
BLOG, Business, Compliance
Update: SEC Rule Change Proposal!
The U.S. Securities and Exchange Commission (the “Commission”) recently published a series of proposed rule changes, including a change to
27-05-2020
BLOG, Business, Compliance
What violations are catching FINRA’s attention?
Quarantine doesn’t slow down suitability violations. FINRA is consistent in their review of unsuitable recommendations. Despite this being a hot
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