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The SEC's New Rule Proposal

Nov 14, 2022

The SEC's New Rule Proposal

By Ian Meiksins, Key Bridge Compliance President The Securities and Exchange Commission proposed a new rule that would require registered investment advisors to conduct due diligence and ongoing review of a vast array of third-party service providers. The proposed rule is coming at a time where...

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The SEC's 2022 Examination Priorities

May 10, 2022

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 for the Division in releasing these priorities is to promote compliance, prevent fraud, identify and monitor risk,...

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Feb 10, 2021

Compliance Officer

Job Description Key Bridge Compliance, LLC (Key Bridge) is seeking a Compliance Officer to join a growing team of driven, highly motivated compliance professionals. Key Bridge provides outsourced CCO and compliance services to Registered Investment Advisers. The compliance officer position will be...

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