MyComplianceOffice Blog

The United States Securities and Exchange Commission's Division of Examinations  Risk Alert: Observations from Examinations of Newly-Registered Advisers covers the regulator’s typical focus areas and common observations. The Alert warns newly-registered advisers to pay close attention to the firm’s compliance policies and procedures, disclosures and marketing practices – advice that well-established firms should be heeding as well.

The U.S. Securities and Exchange Commission adopted proposed amendments to Rule 10b5-1 to enhance disclosure requirements and investor protections against insider trading. According to the SEC release, "the final rules aim to strengthen investor protections concerning insider trading and to help shareholders understand when and how insiders are trading in securities for which they may at times have material nonpublic information."

The U.S. Securities and Exchange Commission (SEC) recently released its Annual Agenda for 2021. The Agenda provides a list of Rules in the Prerule, Proposed, and Final stages and offers a snapshot of the SEC’s long and short term regulatory priorities.