News

Quarterly Updates

2022 Second Quarter Newsletter

Market volatility, high inflation and other macroeconomic headwinds highlight this quarter’s headlines. While the expected...

Risk Alerts

When is Chief Compliance Officer Liability Appropriate?

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

Rules

SEC Proposes New ESG Rule Impacting Investment Advisers

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

Company News

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,...

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...

Quarterly Updates

2022 First Quarter Newsletter

Rule Proposals, Exam Priorities, Risk Alerts, & More for Investment Advisers April 2022   The...

Quarterly Updates

2021 Year In Review for Investment Advisers

Guidance, Enforcement, Hot Topics, & More January 2022   I feel very fortunate to be...

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...

Quarterly Updates

2021 Third Quarter Compliance Letter

Guidance, Enforcement, Hot Topics, & More for Investment Advisers As of: September 30, 2021 It’s...

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...

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