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Form CRS Examination Compliance
Author: Alisha Dowell On April 7, 2020, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert to provide information about initial…
SEC Announces No Delay for Regulation Best Interest and Form CRS
Author: Ian Meiksins In a statement issued by SEC Chairman, Jay Clayton, the SEC announced it will not be extending the compliance date for the…
Business Continuity Plan Best Practices
Author: Mike Spero The coronavirus pandemic was declared a national emergency on March 13, 2020. The pandemic’s rapid escalation has significantly altered public life globally,…
Stock Market Volatility & Your Compliance Program
Author: Chris Payne On March 11, 2020, the Dow Jones Industrial Average closed down 1,465 points, or nearly 5.9%. This drop meant a total decrease…
OCIE Releases Cybersecurity and Resiliency Observations
Author: Jamie Cahal Cybersecurity has been a concern for market participants for quite some time and continues to remain on the SEC’s 2020 list of…
The SEC Proposes Changes to Accredited Investor Definition
Author: Ashley Hatt The SEC recently proposed a change to the term Accredited Investor earlier last month on the 18th of December and if the…
SEC Announces 2020 Examination Priorities
Author: Ian Meiksins In FY 2019, the SEC conducted 2,180 examinations of Investment Advisors which is approximately 15% of all federally registered advisors. Yet, in…
What the OCIE Risk Alert Means for Funds
Authors: Cheryl Leibowitz and Alisha Dowell Earlier this month, the SEC Office of Compliance Inspections and Examinations (“OCIE”) released a risk alert specifying the most…
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