T+1 to T+2 (Why?)
By Maddy Everson, Compliance Extern Fall 2023 Background As technology has improved over the last several decades, the trade settlement period has shortened. In the…
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Looking Forward to Fall? SEC Division of Examinations Announces 2024 Priorities
10/19/2023 By Jared Calvert, Director, Compliance Services Changing leaves, cooler air, and pumpkin spiced lattes are not the only things investment advisers have to look…
SEC Press Release 9.11.2023 – Takeaways
By Lisa Ward, Director of Marketing Review and Matt Giggey, Director, Compliance Services As part of a sweep conducted by the Securities and Exchange Commission,…
SEC Risk Alert 9.6.23- A Breakdown for Advisors
By Sarah Schmidt, Consultant On September 6th, 2023, the Securities and Exchange Commission (SEC) issued a risk alert titled, “Investment Advisers: Assessing Risks, Scoping Examinations,…
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…
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…
A Custody Rule Refresher
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…
Form CRS Examination Compliance
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…
SEC Announces No Delay for Regulation Best Interest and Form CRS
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…
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