News
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...
HighCamp Welcomes Colleen Marencik as Partner
Denver, Colorado – We are excited to announce that Colleen Marencik has joined HighCamp as...
2021 SEC Compliance Program Outreach: Fort Worth Regional Office
On July 28, 2021, the SEC’s Fort Worth Regional Office (“FWRO”) held its annual compliance...
2021 Second Quarter Compliance Letter
We hope this letter finds you all well. It has been an active quarter, so...
SEC Risk Alert: Review of ESG Investing
As we know from the SEC’s recent 2021 Examination Priorities, ESG remains a top focus...
SEC Division of Examinations Announces 2021 Examination Priorities
On March 3, the SEC’s Division of Examinations (“EXAMS”, or the “Division”, formerly known as...
2021 First Quarter Compliance Letter
We hope this letter finds you well. It has been an active quarter for compliance;...
Goodbye Advertising and Solicitation Rules, Hello Marketing Rule
Ought we really to be spending enforcement resources to ensure that radio personalities keep mum...
2020 Year In Review for Investment Advisers
I learned most everything I know about business as a young teenager. I learned that...
2020 Third Quarter Compliance Letter
We hope this letter finds you well. The SEC’s fiscal year came to a close...
2020 Second Quarter Compliance Letter
“Everything changes.” Legendary NBA coach Phil Jackson referred to this quote during “The Last...