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…
Regulatory Update
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…
We design our world, while our world acts back on us and designs us.
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A camel is a horse designed by committee.
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Design is not just what it looks like and feels like. Design is how it works.
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Sed sollicitudin sodales elementum. Praesent auctor tellus non bibendum mollis. Nam malesuada a erat at euismod. Suspendisse…
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…
SEC Expands Definition of Accredited Investor
Author: Amy D’Avella Accredited investors are those the SEC deems sufficiently sophisticated to operate in riskier investment environments, such as private markets. This definition has…
OCIE Cybersecurity Risk Alert
Author: Amy D’Avella On September 15, 2020, the Office of Compliance Inspection & Examinations (OCIE) issued a Risk Alert titled Cybersecurity: Safeguarding Client Accounts against…
SEC Releases COVID-19 Risk Alert for Brokers and Advisors
Author: Brian DeChow On August 12th, the Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert highlighting a variety of compliance issues that…
The SEC Releases New Guidance for Advisors Voting Proxies
Author: Chris Payne Yesterday, the SEC adopted new rules surrounding proxy advisory firms and provided supplemental guidance for investment advisers to follow. As a result…
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