News
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...