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SEC Formally Withdraws Fourteen Rule Proposals
The Securities and Exchange Commission (“SEC”) withdrew 14 proposed rules introduced between October 2020 and November 2023. Only one was...
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Jun 163 min read
Risk Alert Review: Core Areas and Document Requests
By Peter R. Guarino On November 4, 2024, the Division of Examinations (Exams) issued a Risk Alert titled Review of Certain Core Areas and...
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Nov 13, 20242 min read
SEC 2025 Examination Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2025 Examination Priorities. The Division publishes...
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Oct 21, 20242 min read
SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs
SEC Adopts Fund Reporting Amendments and Guidance on Liquidity Risk Management Programs
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Sep 2, 20242 min read
FINCEN AML Rule Adopted
On Wednesday, August 28, 2024, the Financial Crimes Enforcement Network (FinCEN) issued a final rule to help investment advisers...
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Aug 29, 20242 min read
PRIVATE FUNDS RULE UPDATE
Private Fund Rule Update
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Jul 29, 20241 min read
SEC Enforcement Means Business. What it Means for Your Compliance Program
The Securites and Exchange Commission has been busy in 2023 with a near record-high level of enforcement actions. What does this mean for...
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Nov 18, 20232 min read
Proposed Outsourcing Rule Could Have Significant Impact
The Securities and Exchange Commission on Wednesday advanced by a 3-2 vote a new rule proposal (new rule 206(4)-11 and rule amendments...
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Oct 27, 20222 min read
SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
SEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.
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Nov 5, 20193 min read
SEC Advertising Rule Proposal Announced
SEC Advertising Proposal Announced
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Oct 30, 20191 min read
Keep Current with Compliance - 4 Topics for June 2019
Compliance4 is dedicated to helping you build the foundation for a strong compliance program and a culture of compliance.
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Jun 5, 20193 min read
How Not to Get Zapped by Electronic Communications
On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages...
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Dec 17, 20182 min read
It's Not Over Until It's Over - Liquidity Risk Classification Outreach Continues!
On June 28, 2018, the SEC updated its investment company liquidity risk management program disclosure rules (Release No. IC-33142). The...
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Jul 24, 20185 min read
SEC is Listening to the Mutual Fund Industry and Requests Comments
On Wednesday, March 14, 2018, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 22e-4 and Form N-PORT, which is...
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Mar 18, 20183 min read
SEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim Rule
The SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and...
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Feb 23, 20182 min read
SEC to Hold National Compliance Outreach Seminar
Press Release from: https://www.sec.gov/news/press-release/2018-17 SEC to Hold National Compliance Outreach Seminar for Investment...
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Feb 16, 20182 min read
SEC - Sunshine Act Meeting Notice - Liquidity Risk Delay Under Consideration
From: SEC.gov https://www.sec.gov/news/openmeetings/2018/ssamtg022118.htm Securities and Exchange Commission Sunshine Act Meeting. TIME...
Admin
Feb 16, 20181 min read
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