Michael Hollingsworth II

Michael Hollingsworth II

Nelson Mullins Riley & Scarborough LLP

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Recommendations from the OCIE Regarding COVID-19 Related Compliance Risks and Considerations

The Office of Compliance Inspections and Examinations (the “OCIE”) of the U.S. Securities and Exchange Commission (the “SEC”) published a risk alert on Aug. 12 titled Select COVID-19 Compliance Risks and Considerations for...more

9/9/2020  /  Broker-Dealer , Coronavirus/COVID-19 , Cybersecurity , Investment , Investment Adviser , Investment Advisers Act of 1940 , Investment Fraud , OCIE , Risk Assessment , Securities and Exchange Commission (SEC)

Proposed Changes to the SEC Advertising and Solicitation Rules

The Securities and Exchange Commission (the “SEC”) announced proposed reforms to the SEC Rule 206(4)-1 (the “Advertising Rule”) and 206(4)-3 (the “Solicitation Rule”) governing the use of marketing and advertisement by...more

12/4/2019  /  Advertising , Disclosure Requirements , Form ADV , Investment Adviser , Investment Advisers Act of 1940 , Securities and Exchange Commission (SEC)
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