SEC Risk Alert: Form CRS

SEC Risk Alert: Form CRS

08 May 2020

SEC Risk Alert: Form CRS On April 7, 2020, the Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert to let advisors and broker-dealers know that, regardless of COVID-19,  it’s business as usual at the SEC and firms must continue to meet their filing and delivery obligations of Form CRS. OCIE will mostRead More »

Cryptocurrencies… are they considered a security?

Cryptocurrencies… are they considered a security?

03 January 2018

SEC Chairman Jay Clayton recently issued a statement about the highly discussed topic of cryptocurrencies and initial coin offerings (ICOs) on December 12, 2017. He addressed main street investors and market professionals, which includes investment advisers and broker-dealers, among others. Clayton warned market professionals to review SEC investigative reports and subsequent enforcement actions. The conclusionRead More »