Enforcement Sweep Targets Disciplinary Disclosures
The SEC’s Division of Enforcement appears to be conducting a sweep focused on whether registered investment advisers have accurately disclosed disciplinary events.
Examination Priorities
Recent SEC Enforcement Actions Focus on Operational Compliance, Conflicts of Interest, and the Custody Rule
Three recent SEC enforcement actions illustrate the current Commission’s continuing focus on operational compliance, conflicts of interest, and the Custody Rule.
First Regulation S-P Examinations Arrive
Key Bridge Compliance has assisted a client that received what appears to be one of the first Reg S-P focused examinations.
SEC’s New Conflicts Risk Alert Comes Down to One Question: How Does Your Firm Make Money?
The SEC’s new Risk Alert targets economic conflicts of interest. Learn why every adviser should know how their firm makes money.
SEC FY 2025 Enforcement Results: A Philosophical Reset
Chairman Atkins states that the Commission has “put a stop to regulation by enforcement” and recentered the program on its core mission.
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…
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