Your CCO Just Quit. Would Your Compliance Program Survive?
If your CCO quit tomorrow, would your compliance program survive? What the SEC’s annual review Risk Alert means for RIA owners.
Author: Chris Payne
SEC Proposes Rescinding the Pay-to-Play Rule
The SEC has proposed rescinding the pay-to-play rule. Here is what advisers need to know before anything changes.
SEC Risk Alert: Annual Compliance Reviews
The SEC flagged five recurring problems with annual compliance reviews. Here is what they’re finding and what advisers should do differently.
Regulation S-P Sweep Examination: What We Are Seeing First-Hand
SEC Reg S-P exams go beyond written policies. See what two firsthand examinations reveal about how examiners test implementation.
Thinking About Starting an ETF? The Names Rule Matters
Thinking about launching an ETF or mutual fund? The SEC’s Names Rule can turn a fund name into an 80% investment obligation.
Books and Records: A Revision May Finally Be Coming
The SEC’s books and records rule hasn’t changed in 65 years. A revision may be coming, and here’s what advisers should know and do now.
SEC Proposes Regulation E-Delivery
The SEC’s proposed Regulation E-Delivery would make electronic delivery the default. Here’s what RIAs need to know now.
Enforcement Sweep Targets Disciplinary Disclosures
The SEC’s Division of Enforcement appears to be conducting a sweep focused on whether registered investment advisers have accurately disclosed disciplinary events.
Recent SEC Enforcement Actions Focus on Operational Compliance, Conflicts of Interest, and the Custody Rule
Three recent SEC enforcement actions illustrate the current Commission’s continuing focus on operational compliance, conflicts of interest, and the Custody Rule.
First Regulation S-P Examinations Arrive
Key Bridge Compliance has assisted a client that received what appears to be one of the first Reg S-P focused examinations.
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