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OCIE Issues Risk Alert Regarding Advisers and Principal and Agency Cross Trading

USA - October 15 2019 On September 4, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk...

Timothy F. Silva.

CFTC Releases Enforcement Manual in Hopes of Increasing Transparency

USA - May 29 2019 Intending to bring greater transparency to the operation of its enforcement program, the Commodity Futures Trading Commission’s (CFTC or Commission)...

Elizabeth Mitchell, Matthew Beville, Petal Walker, Paul M. Architzel.

OCIE Issues Risk Alert Regarding Advisers and Broker-Dealers Failing to Comply with Regulation S-P

USA - May 15 2019 On April 16, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert1...

Timothy F. Silva.

Mutual Fund Sponsors Beware: Recent SEC Staff Guidance could Result in Lapse in Registration

USA - April 17 2019 In a footnote to an April 2, 2019 SEC Staff guidance,1 the Staff requested that mutual funds file a delaying amendment to postpone the effective date...

Gretchen Passe Roin.

CFTC Releases Enforcement Advisory Regarding Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

USA - March 7 2019 On March 6, 2019, the Commodity Futures Trading Commission’s (Commission) Division of Enforcement (Division) released an Enforcement Advisory...

Petal Walker, Paul M. Architzel.