The U.S. Securities and Exchange Commission (SEC) continues to focus on recordkeeping requirements. On September 29, 2023, the SEC...

The U.S. Securities and Exchange Commission (SEC) continues its “ongoing sweep to ensure that investment advisers comply with the...

The U.S. Securities and Exchange Commission (SEC) has begun enforcing the new marketing rule. On August 21, 2023, the SEC announced...

The U.S. Securities and Exchange Commission (SEC) has begun enforcing the new marketing rule. On August 21, 2023, the SEC announced...

The U.S. Securities and Exchange Commission (SEC) continues to focus on recordkeeping requirements. On August 8, 2023, the SEC announced...

The U.S. Securities and Exchange Commission (SEC) continues to focus on Private Funds. On May 24, 2023, the SEC charged a New York RIA...

Will your firm be prepared for the upcoming requirements and deadlines that will be imposed by the significant number of regulatory...

On March 27, 2023, the U.S. Securities and Exchange Commission (SEC) released a Risk Alert aimed at newly-registered advisers. The Risk...