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EXAMS Publishes Risk Alert Regarding Regulation S-ID Compliance

USA - December 6 2022 The Division of Examinations (“EXAMS”) of the Securities and Exchange Commission (“SEC”) has published a risk alert (“Risk Alert”) identifying a…

Jessica Forbes, Mark Highman, Steven Lofchie, Nihal Patel, Joanna D. Rosenberg

SEC Proposes New Oversight Requirements for Certain Services Outsourced by Registered Investment Advisers

USA - November 1 2022 On October 26, 2022, the Securities and Exchange Commission (“SEC”) proposed a new rule and rule amendments (the “Proposal”) under the Investment…

Jessica Forbes, Tyler Kaufman, Joanna D. Rosenberg

EXAMS Publishes Risk Alert Regarding Examinations Focused on the New Investment Adviser Marketing Rule

USA - September 20 2022 On September 19, 2022, the Securities and Exchange Commission Division of Examinations (“EXAMS”) published a Risk Alert (the “Risk Alert”) to inform…

Jessica Forbes, Joanna D. Rosenberg

SEC and CFTC Propose Additional Amendments to Form PF

USA - August 18 2022 On August 10, 2022, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) proposed additional amendments…

Conor Almquist, Jessica Forbes, Mark Highman

SEC Staff Reminds Firms of Fiduciary Obligations

USA - August 4 2022 SEC staff reminded broker-dealers and investment advisers of the obligation under Regulation Best Interest ("Reg BI") and the IAA fiduciary standard…