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Investment Adviser › SEC Examination Priorities › Chief Compliance Officers

SEC Compliance Consultants, Inc. (SEC³)

Top Compliance Program Mistakes (and How to Avoid Them) (Part 1 of 2)

SEC Compliance Consultants, Inc. (SEC³) on

Chief Compliance Officers face the challenge of running a comprehensive yet efficient compliance program that nimbly adapts to changing regulatory requirements and business practices. As compliance consultants, we see our...more

Morrison & Foerster LLP

Finish Strong and Looking Ahead

Morrison & Foerster LLP on

As the end of 2024 approaches, it is crucial that all investment advisers—including registered investment advisers (RIAs) and exempt reporting advisers (ERAs)—complete end of the year regulatory and compliance tasks and...more

Morrison & Foerster LLP

Marketing Rule Implementation – Are You Ready for November 4th?

Morrison & Foerster LLP on

The compliance date for the SEC’s new investment adviser Marketing Rule is November 4, 2022, allowing just over a month for an investment adviser to finalize its implementation process to comply with the Rule, which applies...more

Goodwin

SEC’s Division of Examinations Issues Risk Alert Regarding MNPI and Code of Ethics Compliance

Goodwin on

On April 26, 2022, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) issued a risk alert concerning deficiencies related to Section 204A of the Investment Advisers Act of 1940 (“Advisers...more

Morrison & Foerster LLP

SEC Flags Deficiencies in Investment Adviser MNPI Compliance Practices

Morrison & Foerster LLP on

On April 26, 2022, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert flagging certain notable deficiencies that it has observed related to advisers’ potential misuse of material non-public information (MNPI) in...more

Eversheds Sutherland (US) LLP

SEC’s focus on compliance: What boards should know

Eversheds Sutherland (US) LLP on

Rule 38a-1 under the Investment Company Act of 1940 (the 1940 Act) requires funds to review their compliance programs, as well of those of their service providers, including their investment advisers (advisers), annually....more

Lowenstein Sandler LLP

2020 and Q1 2021 Developments And Annual Compliance Checklists

Lowenstein Sandler LLP on

Summaries of recent legislative and regulatory developments with respect to: •The SEC’s Examination Priorities for 2021- •The SEC’s Focus on Digital Asset Securities- •The SEC’s New Marketing Rule... ...more

Proskauer Rose LLP

OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs

Proskauer Rose LLP on

On November 19, 2020, the SEC published a risk alert providing an overview of notable compliance issues identified by the agency’s Office of Compliance Inspections and Examinations (“OCIE”) under Rule 206(4)-7 (the...more

Dorsey & Whitney LLP

SEC on Compliance

Dorsey & Whitney LLP on

Compliance is a key issue for all firms. Many companies use the U.S. sentencing guidelines as a starting point. In other instances, regulators craft a starting point with rules that direct the creation of programs....more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

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