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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
14-05-2020
BLOG, Business, Compliance
Are your disclosures (or lack of) going to get you in trouble?
The SEC started an initiative a couple years ago ordering firms to turn themselves in if they had failed to
01-05-2020
BLOG, Business, Compliance
The SEC is Proposing a Modernization of the Framework for Fund Valuation Practices
This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast changes that have taken
06-03-2020
BLOG, Business, Compliance
Is your Cybersecurity Program Air Tight?
On January 27th 2020 the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) issued examination observations related
02-03-2020
BLOG, Business, Compliance
FAQS on Regulation Best Interest
     
04-02-2020
BLOG, Business, Compliance
What You DIDN’T Know About Making Recommendations
Did you know that as of July 2019, the SEC has adopted Regulation Best Interest (Reg BI)? This new standard
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