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Author: Ashley Hatt In 2009, the SEC subjected advisors to a new list of Custody Rule requirements that sent the world of Registered Investment Advisors…

Author: Alisha Dowell On April 7, 2020, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert to provide information about initial…

Author: Ian Meiksins In a statement issued by SEC Chairman, Jay Clayton, the SEC announced it will not be extending the compliance date for the…

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,…

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…

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…

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…

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…

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…

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…