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…
Regulatory Update
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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…
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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…
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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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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…
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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…
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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…
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