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
The SEC and the “RIC-ification” of Private Funds Have recent proposals foreshadowed a fundamental change to the regulation of private funds in the... READ MORE
Insider Trading Leads to Criminal and Civil Penalties A consulting firm partner who was advising a global bank on the acquisition of a FinTech loan... READ MORE
Constraints and Pressures Facing Compliance Today What are the most significant pressures facing compliance programs in 2021? And where are the... READ MORE
Pay-to-Play Compliance Key in Record Breaking Election Cycle The Federal Election Commission (FEC) recently released their Statistical Summary of 18-Month... READ MORE
SEC Finds Deficiencies in Disclosing Conflicts of Interest and MNPI The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange... READ MORE
SEC Will Focus on Good Faith Efforts in Reg BI Enforcement On April 7 the SEC published two Risk Alerts providing broker-dealers and investment advisors with... READ MORE
An Overview of Regulation Best Interest On June 5, 2019, the SEC announced new rules and interpretations clarifying required standards of... READ MORE
U.S. Department of Justice's New Guidance Centers on Three Questions The DOJ has served notice it will require clear answers to these three questions during future... READ MORE
