Welcome to the Supplemental Hub
You’ve attended the webinar, but now you want more information…
Thank you for attending “Preparing for the Future & Beyond: Year-end Considerations and SEC Hot Topics” presented by Tina Mitchell. The discussion shouldn’t stop there. We’ve provided additional materials to help attendees navigate the discussion back to their own organizations.
The Supplemental Hub was designed specifically from the presentation and is catered to help those understand, strategize, and maneuver year-end compliance considerations for 2022.
If you or your team need additional assistance, contact our team today.
SEC Findings
- In the Matter of BiscayneAmericas Advisers LLC
- In the Matter of Garrison Investment Group LP
- In the Matter of Janus Henderson Investors US LLC
- In the Matter of JP Morgan Securities LLC
- In the Matter of Lend Academy Investments LLC
- In the Matter of Perceptive Advisors LLC
- In the Matter of Polaris Equity Management Inc.
- In the Matter of QVR LLC
- In the Matter of Ridgeview Asset Management Partners LLC
- In the Matter of Steward Capital Management Inc.
- In the Matter of Titan Fund Management LLC
- In the Matter of TradeStation Securities Inc.
- In the Matter of UBS Financial Services Inc.
- In the Matter of Wahed Invest LLC
Risk Alerts
- Division of Examinations Risk Alert – Investment Adviser MNPI Compliance Issues (April 2022)
- Division of Examinations Risk Alert – Observations from Examinations of Private Fund Advisers (January 2022)
- Division of Examinations Risk Alert – Examinations Focused on the New Investment Adviser Marketing Rule (September 2022)
Year-End Checklist RMU