Resources

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…

SEC 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…

SEC 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…

SEC 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”)…

SEC 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…

SEC 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,…

Turning Compliance into a Competitive Advantage

Compliance issues are a reality of life for every participant in the financial services industry.

How 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?

Advancing Your Firm’s Technology

Five steps to identify and implement the right technology solution at your firm.

Compliance Reviews: Annual, Periodic and Forensic Testing

The correct way to go about conducting compliance reviews that matter.

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