On August 14, the U.S. Securities and Exchange Commission (“SEC”) announced yet another wave of enforcement actions related to widespread “off-channel communications,” charging an additional 26 firms with failing to maintain...more
8/29/2024
/ Electronic Communications ,
Enforcement Actions ,
Instant Messaging Apps ,
Investigations ,
Investment Advisers Act of 1940 ,
Mobile Devices ,
Popular ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Self-Reporting ,
WhatsApp
On September 29, the US Securities and Exchange Commission ("SEC") brought its latest wave of enforcement actions related to "off-channel communications," charging 10 additional firms with failing to maintain employee...more
11/1/2023
/ Broker-Dealer ,
Compliance ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Mobile Devices ,
Record Retention ,
Regular Business Communications ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation ,
Self-Reporting
Relief Related to the Investment Advisers Act of 1940
On March 25, 2020, the Securities and Exchange Commission ("SEC") extended the time period for filing relief for Form ADV and Form PF. The Order extends the following...more
On November 4, 2019, the Securities and Exchange Commission (“SEC”) issued a proposal to modernize the rules under the Investment Advisers Act of 1940 (“Advisers Act”) addressing SEC-registered investment adviser...more
11/15/2019
/ Advertising ,
Books & Records ,
Cash Solicitation Rule ,
Disclosure Requirements ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Rules ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Testimonial Statements