News

Quarterly Updates

2022 Third Quarter Newsletter

This quarter, the market extended its pullback around the impact of continued inflation and other...

Quarterly Updates

2022 Second Quarter Newsletter

Market volatility, high inflation and other macroeconomic headwinds highlight this quarter’s headlines. While the expected...

Quarterly Updates

2022 First Quarter Newsletter

Rule Proposals, Exam Priorities, Risk Alerts, & More for Investment Advisers April 2022   The...

Quarterly Updates

2021 Year In Review for Investment Advisers

Guidance, Enforcement, Hot Topics, & More January 2022   I feel very fortunate to be...

Quarterly Updates

2021 Third Quarter Compliance Letter

Guidance, Enforcement, Hot Topics, & More for Investment Advisers As of: September 30, 2021 It’s...

Quarterly Updates

2021 Second Quarter Compliance Letter

We hope this letter finds you all well. It has been an active quarter, so...

Quarterly Updates

SEC Division of Examinations Announces 2021 Examination Priorities

On March 3, the SEC’s Division of Examinations (“EXAMS”, or the “Division”, formerly known as...

Quarterly Updates

2021 First Quarter Compliance Letter

We hope this letter finds you well. It has been an active quarter for compliance;...

Quarterly Updates

Goodbye Advertising and Solicitation Rules, Hello Marketing Rule

Ought we really to be spending enforcement resources to ensure that radio personalities keep mum...

Quarterly Updates

2020 Year In Review for Investment Advisers

I learned most everything I know about business as a young teenager. I learned that...

Quarterly Updates

2020 Third Quarter Compliance Letter

We hope this letter finds you well. The SEC’s fiscal year came to a close...

Quarterly Updates

2020 Second Quarter Compliance Letter

“Everything changes.”   Legendary NBA coach Phil Jackson referred to this quote during “The Last...

Ready to speak with a compliance advisor?

Speak with a HighCamp Advisor