News
2022 Third Quarter Newsletter
This quarter, the market extended its pullback around the impact of continued inflation and other...
HighCamp Celebrates 5 Years
HighCamp turned 5 last week! We’ve accomplished many amazing things in the past five years....
2022 Second Quarter Newsletter
Market volatility, high inflation and other macroeconomic headwinds highlight this quarter’s headlines. While the expected...
When is Chief Compliance Officer Liability Appropriate?
Many chief compliance officers of registered investment advisers often, and understandably, worry about their personal...
SEC Proposes New ESG Rule Impacting Investment Advisers
On May 25, 2022, the SEC proposed new rules that would require both SEC-registered investment...
HighCamp Expands to California, Adds Former Marlin Equity VP And ACA Group Consultant Brian Roberts as Director
LOS ANGELES, June 1, 2022 – HighCamp Compliance, a boutique compliance consulting and outsourcing firm,...
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...
2022 First Quarter Newsletter
Rule Proposals, Exam Priorities, Risk Alerts, & More for Investment Advisers April 2022 The...
2021 Year In Review for Investment Advisers
Guidance, Enforcement, Hot Topics, & More January 2022 I feel very fortunate to be...
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...
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...
2021 Third Quarter Compliance Letter
Guidance, Enforcement, Hot Topics, & More for Investment Advisers As of: September 30, 2021 It’s...