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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

SEC 2022 Exam Priorities – Learn How They Will Affect Your Compliance Program

The release of the exam priorities report[1] 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

The Cybersecurity Evergreen: How Regulators Are Growing Their Focus on Cyberthreats and Protections

Today’s securities markets operate in a complex and seemingly instantaneous environment accelerated by the exponential growth of computing power and interconnectivity. This evolving market space has provided enormous opportunities for investors and investment professionals alike. The same can also be … Read More

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