The SEC’s Division of Examinations (the “Division”) announced yesterday its 2022 examination priorities. These SEC exam priorities are announced each year to help promote and improve compliance and protect investors.
On February 9, 2022, the SEC voted to propose new rules and amendments under the Investment Advisers Act of 1940 (“Advisers Act”) to enhance the regulation of private fund advisors. These rules and changes would significantly increase transparency with regard to these investment advisors.
The SEC issued a risk alert yesterday that provided detail on certain compliance issues observed during recent Advisory Fees Initiative examinations, including additional details regarding the observations of the staff…
The SEC’s Division of Examinations (the “Division”), formerly the Office of Compliance Inspections and Examinations, announced yesterday its 2021 examination priorities. These SEC exam priorities are announced each year to help promote and improve compliance and protect investors.
The SEC announced today that it is significantly updating and modernizing rules under the Investment Advisers Act of 1940 (“Advisers Act”) relating to advertising and payments to solicitors. The amendments create a single marketing rule that replaces the current advertising and cash solicitation rules.
The SEC issued a risk alert today that provided an overview of notable compliance issues identified by examination staff of OCIE (Office of Compliance Inspections and Examinations) with regard to Rule 206(4)-7 (the “Compliance Rule”) of the Advisers Act.
The SEC issued a risk alert yesterday relating to a series of examinations OCIE (Office of Compliance Inspections and Examinations) conducted that focused on investment advisors that operated from numerous branch offices and that had operations geographically dispersed from the advisor’s principal office.
The SEC issued a risk alert for investment advisors and broker-dealers on August 12th with respect to COVID-19. In the risk alert, OCIE (Office of Compliance Inspections and Examinations) shared…
The SEC’s Office of Compliance Inspections and Examinations (OCIE) announced today its 2020 National Exam Program Examination Priorities.
The SEC announced yesterday that it voted to propose amendments to update and modernize rules under the Investment Advisers Act of 1940 (“Advisers Act”) relating to advertising and payments to solicitors. Amendments are also proposed to Form ADV, the investment advisor registration form, and the books and records rule to reflect the changes proposed to the advertising and cash solicitation rules.