$18 trillion in private fund assets is managed by 35% of all SEC-registered investment advisers which is a notable 70% increase from the prior five years. To that end these advisers unfortunately are riddled with many compliance issues observed by … Read More
The release of the exam priorities report was later this year than in prior years but appears to be worth the wait. In this year’s report, the Securities and Exchange Commission (“SEC”) outlines, among others, five “significant” areas of focus. … Read More
Closing out our short series of suggested focus areas for 2021, this blog post focus on the overall theme of the SEC’s Division of Enforcement’s Annual Report. Over the course of 2020, the industry has tried to navigate through unknown … Read More
Cybersecurity continues to be a top priority for the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations’ (“OCIE”), especially as the bulk of firms have had to shift to working remotely in light of COVID-19. Just in … Read More
On episode 70 of the CCO Buzz, we interview Jessica Thayer of Starkweather and Shepley Insurance Brokerage to learn more about the specifics of insurance coverage for investment advisers.