Archive Of The Category ‘SEC IM Guidance‘

SEC’s Ransomware Alert

SEC’s Ransomware Alert

04 August 2020

On July 10th the SEC issued a risk alert focusing on ransomware and the importance of generating awareness within advisory firms of current threats.  The SEC is encouraging registrants to monitor alerts provided by the Department of Homeland Security Cybersecurity and Infrastructure Security Agency (CISA) and share the information gathered with third party service providersRead More »

Compliance During the Pandemic

Compliance During the Pandemic

02 June 2020

We have settled into work from home life and found a (somewhat) new normal of work during the pandemic. When the dust settles, we expect the SEC to focus on areas such as business continuity and supervision of employees during the pandemic. We also wouldn’t be surprised if the SEC conducts sweep exams of pandemicRead More »

Compliant Advertising: Breaking it Down – Part 4: Performance

Compliant Advertising: Breaking it Down – Part 4: Performance

06 March 2020

Review of Part 1: The Foundation In the first article of this series, we discussed the foundational information you need to know to ensure your marketing and advertising materials are in compliance with the SEC’s rules and regulations.  We helped you clearly understand: the SEC’s definition of an “advertisement.” What is considered an advertisement, whatRead More »

2020 SEC Exam Priorities

2020 SEC Exam Priorities

29 January 2020

I can’t think of a better way to start off the year than by reading the SEC’s Exam Priorities for 2020.  Okay, I’m being a bit facetious.  But in all honesty, I do look forward to this publication. It is a great compliance tool because it puts a spotlight on SEC focus areas and allowsRead More »

New SEC Disclosure Form

New SEC Disclosure Form

03 January 2020

Have you heard? There is a new form in town. It goes by many names…it is referred to as the Client Relationship Form, Form CRS, or even ADV Part 3. The intent of this new form is to provide your Retail Investors with the information needed for them to make an educated decision about whetherRead More »

SEC Proxy Voting Guidance

SEC Proxy Voting Guidance

27 November 2019

After years of research, OCIE exam findings, and roundtable discussions, the SEC has issued guidance on proxy voting in the form of a Question and Response (“Q&R”). You can find the Q&R guidance here. The responsibilities of proxy voting can be an administrative burden for investment advisors, which is why many have chosen a third-partyRead More »