SEC CRACKS DOWN ON FAILURE TO PRESERVE ELECTRONIC COMMUNICATION
The U.S. Securities and Exchange Commission (SEC) continues to focus on recordkeeping requirements. On September 29, 2023, the SEC...
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Abel Ramirez
Sep 10, 20232 min read
SEC SWEEP INTO MARKETING RULE VIOLATIONS RESULTS IN CHARGES AGAINST NINE INVESTMENT ADVISERS
The U.S. Securities and Exchange Commission (SEC) continues its “ongoing sweep to ensure that investment advisers comply with the...
Abel Ramirez
Sep 8, 20231 min read
SEC CHARGES FINTECH INVESTMENT ADVISER TITAN FOR MISREPRESENTING HYPOTHETICAL PERFORMANCE OF INVESTMENTS
The U.S. Securities and Exchange Commission (SEC) has begun enforcing the new marketing rule. On August 21, 2023, the SEC announced...
Abel Ramirez
Sep 8, 20231 min read
SEC BEGINS ENFORCING NEW MARKETING RULE
The U.S. Securities and Exchange Commission (SEC) has begun enforcing the new marketing rule. On August 21, 2023, the SEC announced...
Abel Ramirez
Aug 8, 20231 min read
SEC CHARGES 11 FIRMS WITH FAILURE TO PRESERVE COMMUNICATIONS ON PERSONAL DEVICES
The U.S. Securities and Exchange Commission (SEC) continues to focus on recordkeeping requirements. On August 8, 2023, the SEC announced...
Abel Ramirez
Jun 22, 20231 min read
SEC CHARGES INVESTMENT ADVISER FOR COMPLIANCE FAILURES RELATED TO VALUATION OF FUND PORTFOLIO INVESTMENTS
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...
Abel Ramirez
Apr 11, 20231 min read
SEC HAS AGGRESSIVE REGULATORY AGENDA FOR 2023
Will your firm be prepared for the upcoming requirements and deadlines that will be imposed by the significant number of regulatory...
Abel Ramirez
Apr 9, 20231 min read
SEC ISSUES RISK ALERT TO NEWLY-REGISTERED INVESTMENT ADVISERS
On March 27, 2023, the U.S. Securities and Exchange Commission (SEC) released a Risk Alert aimed at newly-registered advisers. The Risk...
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