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Final Rule Adopted by the SEC: Private Funds and Documentation- Action Items
By Ian Meiksins, KBC President On August 23rd, 2023 the Securities and Exchange Commission (“SEC”) approved a final rule making a vast array of changes…
Private Placements with Anthony Stanek
In a recent webinar, CEO Matt Swendiman was joined by Anthony Stanek, Managing Director at IPL (Investors Preferred). The webinar focused on the potential benefits…
The SEC’s New Rule Proposal
By Ian Meiksins, Key Bridge Compliance President The Securities and Exchange Commission proposed a new rule that would require registered investment advisors to conduct due…
The SEC’s 2022 Examination Priorities
By Kevin Kirk On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) released its 2022 Exam Priorities. The stated purpose…
PART I: Addressing Recent OCIE Risks—Inadequate Compliance Resources
Author: Amy D’Avella This is the first in a series of blogs which will analyze the SEC’s Office of Compliance Inspections & Examination’s (OCIE) November…
Risk Alert: OCIE Releases Risk Alert Targeting CCOs and Compliance programs
Coinciding with the SEC’s annual Compliance Outreach Program National Seminar, on November 19 the Office of Compliance Inspections & Examinations (OCIE) released a risk alert…
OCIE Risk Alert – Multi-Branch Offices
On November 9, 2010, the Securities and Exchange Commission’s Office of Examinations and Inspections released a risk alert titled Observations from OCIE’s Examinations of Investment…
The SEC Updates Form CRS FAQs
In the wake of an investigation by the Wall Street Journal showing that 20% of firms incorrectly stated having no disciplinary history in their Form…
New Phishing Scheme Posing as FINRA
Author: Amy D’Avella Key Bridge Compliance has been made aware of a new phishing attack against both FINRA members and SEC-registered investment advisers. The phishing…
The Importance of Books and Records in a Bear Market
Maintaining proper books and records is a key component of your compliance program, but with so many rules and regulations to keep track of it…
Chris Payne Named Managing Director of Key Bridge Compliance
Key Bridge Compliance is excited to announce the promotion of our colleague Chris Payne to Managing Director. Chris joined Key Bridge Compliance in August as…
SEC Proposes Increased Threshold for 13F Reporting
Author: Ian Meiksins The SEC has proposed a substantial leap in the reporting threshold of Form 13F. Form 13F, as it currently stands, requires advisors…
Ten Steps for Safer and Secure Video Calls
Author: Alisha Dowell As we deal with current restrictions and personal distancing rules, it becomes more important than ever for investment advisory firms to connect…
Regulation Best Interest (Reg BI) Update
Authors: Jay Kasting and Chris Payne What is Regulation Best Interest On June 5th, 2019, the Securities & Exchange Commission (SEC) finally unveiled the much…