Take a Forward-Looking View to Manage Conflicts of Interest The days when firms could write off regulatory fines as the cost of doing business are long over.... READ MORE
Compliance Pitfalls for Newly Registered Investment Advisers The United States Securities and Exchange Commission's Division of Examinations Risk Alert:... READ MORE
Insider Trading in the Lead-Up to the Banking Crisis The stability of the global banking system is a top-of-mind concern for everyone right now. And as... READ MORE
Adopted SEC Rule 10b5-1 Amendments Increase MNPI Scrutiny The U.S. Securities and Exchange Commission adopted proposed amendments to Rule 10b5-1 to enhance... READ MORE
Record SEC Enforcement in 2022 Brings Steep Penalties for Misconduct U.S. Securities and Exchange Commission Chair Gary Gensler said in a speech to the Practicing Law... READ MORE
Your SEC Examination Priorities Guide + the APAC Impact in 2023 For every registered firm with the SEC, it’s not a matter of if you’ll be examined but when.... READ MORE
SEC Bulletin Highlights Need for Effective Conflicts Management The U.S. Securities and Exchange Commission (SEC) recently released the staff bulletin Standards of... READ MORE
SEC Announces Spring 2022 Regulatory Agenda The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2022 Unified... READ MORE
SEC Focuses on MNPI and Code of Ethics Issues The SEC issued the Risk Alert Investment Adviser MNPI Compliance Issues to provide investment... READ MORE
