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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…
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…
The SEC Continues to Put Private Fund Advisers on Notice
Author: Chris Payne On June 23rd, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert[1] intended to highlight the compliance…
The Importance of Books and Records in a Bear Market
Maintaining proper books and records is a key component of your compliance program, but with so many rules and regulations to keep track of it…
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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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…
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…