News

Company News

HighCamp Welcomes Colleen Marencik as Partner

Denver, Colorado – We are excited to announce that Colleen Marencik has joined HighCamp as...

Company News

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...

Quarterly Updates

2021 Second Quarter Compliance Letter

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

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...

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...

Quarterly Updates

The New Normal: Maintaining Compliance Programs Remotely

The way most of us work together has changed. Video calls have replaced the conference...

Quarterly Updates

2020 First Quarter Compliance Letter

Our thoughts and prayers go out to everyone across the globe affected by the COVID-19...

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