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SEC’s Division of Examinations Publishes Risk Alert on Investment Adviser Principal and Cross Trading Practices

USA - August 12 2021 On July 21, 2021, the Division of Examinations (“Exams”) issued a risk alert on principal and cross trading practices by investment advisers (the…

Michael F Mavrides, David A. Munkittrick.

SEC Increases Advisers Act Qualified Client Thresholds

USA - June 22 2021 On June 17th, the Securities and Exchange Commission (the “Commission”) issued an order adjusting the dollar amount thresholds for clients of…

Anthony M Drenzek.

SEC Division of Examinations Announces 2021 Examination Priorities

USA - March 16 2021 On March 3, 2021, the SEC’s Division of Examinations[1] announced its examination priorities for 2021. Noting the effects of the global COVID-19…

Benjamin J Catalano, Anthony M Drenzek, Stephen T. Mears, Joshua M Newville.

Publication of Sweeping Changes to SEC Marketing Rule Sets Effective and Compliance Dates

USA - March 8 2021 On March 5, 2021, the SEC release adopting broad changes to rule 206(4)-1 under the U.S. Investment Advisers Act of 1940 was published in the federal…

Anthony M Drenzek, Robert G Leonard, Michael F Mavrides, Christopher M Wells.

SEC Division of Examinations Releases Risk Alert for Digital Asset Securities

USA - March 6 2021 On February 26, 2020, the Security and Exchange Commission’s (“SEC”) Division of Examinations (the “Division”) published a Risk Alert, “The Division…

Frances P. Kelley.