SEC Compliance Outreach Program: Recap of 2022 Seminar

Several years ago, the SEC initiated the CCOutreach program, now called the Compliance Outreach Program, to promote open communications and coordination among various industry related entities – mutual funds, investment advisers and broker-dealers – on compliance issues.  The program was … Read More

Robo-Advisers are Not Immune from Compliance Failures

Regulators are continuing their focus on robo-advisers,[1] and since 2018 the Securities and Exchange Commission (“SEC”) has filed several enforcement actions reflecting violations of various regulations under the Investment Advisers Act of 1940 (“Advisers Act”).[2]  The most reoccurring are violations … Read More

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