Blog
Blog Posts
Business Continuity Plan Best Practices
Author: Mike Spero The coronavirus pandemic was declared a national emergency on March 13, 2020. The pandemic’s rapid escalation has significantly altered public life globally,…
Stock Market Volatility & Your Compliance Program
Author: Chris Payne On March 11, 2020, the Dow Jones Industrial Average closed down 1,465 points, or nearly 5.9%. This drop meant a total decrease…
OCIE Releases Cybersecurity and Resiliency Observations
Author: Jamie Cahal Cybersecurity has been a concern for market participants for quite some time and continues to remain on the SEC’s 2020 list of…
The SEC Proposes Changes to Accredited Investor Definition
Author: Ashley Hatt The SEC recently proposed a change to the term Accredited Investor earlier last month on the 18th of December and if the…
SEC Announces 2020 Examination Priorities
Author: Ian Meiksins In FY 2019, the SEC conducted 2,180 examinations of Investment Advisors which is approximately 15% of all federally registered advisors. Yet, in…
What the OCIE Risk Alert Means for Funds
Authors: Cheryl Leibowitz and Alisha Dowell Earlier this month, the SEC Office of Compliance Inspections and Examinations (“OCIE”) released a risk alert specifying the most…
SEC’s Proposed Amendments to Advertising Rule
Authors: Alisha Dowell & Chris Payne On November 4, 2019, the United States Securities and Exchange Commission (the “SEC”) announced its long-promised changes to the…
The Effect of Zero Dollar Commissions on Wrap Fee Programs
As the cost to trade has gotten cheaper and cheaper, it is time to ask, do wrap fee programs need to be re-valuated?
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…
No posts
No posts