News
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...
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...