In October, The U.S. Securities and Exchange Commission (“SEC”) issued their 2024 exam priorities list, which is only the second time in 10 years that they have released the list prior to year-end. Prior release dates have usually been in … Read More
In July 2019, the US Securities and Exchange Commission (“SEC”) issued interpretive guidance on the standards of conduct for investment advisers. The guidance outlines an investment adviser’s duty of care and loyalty as a fiduciary to its clients and specifically … Read More
In February of 2022, the SEC proposed Cybersecurity Risk Management Rules and Amendments (the “Proposed Rules”) that continue to focus on cybersecurity risks as an unavoidable reality for the financial markets and, specifically, for registered investment advisers who “increasingly depend … Read More
On episode 105 of the CCO Buzz podcast, Sr. Compliance Consultant Matthew Rothchild takes a look at the SEC’s Risk Alert, Observations from Broker-Dealer Examinations Related to Regulation Best Interest (“RBI”) and discuss its applicability to Investment Advisers.
It should come as no surprise that many compliance professionals, no matter how seasoned, find regulatory examinations to be daunting and at times even a little scary. In our experience, we don’t typically hear that compliance officers enjoy the examination … Read More