Home » Securities and Exchange Commission (SEC) - Page 2
Conflicts of Interest Rule | Disclosures | Investment Adviser | Registration | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)

Duty of Care and Loyalty – What Investment Advisers Need to Know

Updated: June 24, 2026 by

In July 2019, the US Securities and Exchange Commission (“SEC”) issued interpretive guidance on the standards of conduct for investment advisers.[1] The guidance outlines an investment adviser’s duty of care and loyalty as a fiduciary to its clients and specifically … Read More

Cybersecurity | Disclosures | Other | Risk Management Updates (RMU)

Proposed Rules and Amendments Regarding Cybersecurity for Advisers and Registered Funds

Updated: December 19, 2025 by

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

Investment Adviser | Regulatory Examinations | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)

SEC Compliance Outreach Program: Recap of 2022 Seminar

Updated: February 20, 2023 by

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

1 2 3 4 5 … 26