Risk Alerts

SEC Adopts Amendments to Enhance Private Fund Reporting

Background On May 3, 2023, the Securities and Exchange Commission (SEC) adopted amendments to Form...

Risk Alerts

When is Chief Compliance Officer Liability Appropriate?

Many chief compliance officers of registered investment advisers often, and understandably, worry about their personal...

Risk Alerts

SEC Proposes New ESG Rule Impacting Investment Advisers

On May 25, 2022, the SEC proposed new rules that would require both SEC-registered investment...

Risk Alerts

SEC Division of Examinations Risk Alert: Investment Adviser MNPI Compliance Issues

On April 26, 2022, the SEC Division of Examinations (“EXAMS”) issued a risk alert highlighting...

Risk Alerts

SEC Fines J.P. Morgan Securities for Recordkeeping Failures

“As technology changes, it’s even more important that registrants ensure that their communications are appropriately...

Risk Alerts

SEC Division of Examinations Risk Alert: Investment Advisers’ Fee Calculations

It is important for clients to receive timely and accurate information regarding fees and expenses...

Risk Alerts

SEC Risk Alert: Review of ESG Investing

As we know from the SEC’s recent 2021 Examination Priorities, ESG remains a top focus...

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