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SEC Risk Alert: Broker-Dealers AML / CFT Programs
On July 31, 2023, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) published a Risk Alert sharing…
Read moreSEC Risk Alert: Safeguarding Customer Records and Information at Branch Offices
On April 26, 2023, the U.S. Securities and Exchange Commission’s Division of Examinations issued a Risk Alert to highlight the…
Read moreSEC RISK ALERT: Observations from Examinations of Newly-Registered Advisers
On March 27, 2023, Staff from the SEC’s Division of Examinations published guidance stemming from examinations of newly registered investment…
Read moreSEC Division of Examinations Announces 2023 Priorities
2023 SEC EXAMINATION PRIORITIES On February 7, 2023, the United States Securities and Exchange Commission’s Division of Examination (“Examination Staff”)…
Read moreSEC Proposes New Service Provider Oversight Rules
On October 26, 2022, the United States Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 (“Proposed Rule”). If adopted, the…
Read moreSEC Division of Examinations Publishes Risk Alert on MNPI Compliance Issues
Exposure to material nonpublic information (“MNPI”) remains one of the highest risks for many firms in the financial services industry,…
Read moreTurning Compliance into a Competitive Advantage
Compliance issues are a reality of life for every participant in the financial services industry.
Read moreHow to Start an ESG Strategy
Many firms today offer an ESG product. Where does one start? What are the operational, legal and compliance issues to keep in mind?
Read moreAdvancing Your Firm’s Technology
Five steps to identify and implement the right technology solution at your firm.
Read moreCompliance Reviews: Annual, Periodic and Forensic Testing
The correct way to go about conducting compliance reviews that matter.
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