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
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SEC Increases Performance Fee Thresholds
The SEC has raised the financial thresholds used to determine whether a client qualifies for performance-based advisory fees under Rule 205-3.
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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.
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SEC and CFTC Propose Form PF Amendments
The SEC and CFTC jointly proposed amendments to Form PF designed to reduce reporting burdens on private fund advisers.
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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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