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SEC Compliance Updates
2021 SEC Compliance Program Outreach: Fort Worth Regional Office
On July 28, 2021, the SEC’s Fort Worth Regional Office (“FWRO”) held its annual compliance program outreach event. The speakers discussed forthcoming ESG rulemaking, cybersecurity concerns and guidance, and the...
2021 Second Quarter Compliance Letter
We hope this letter finds you all well. It has been an active quarter, so we’ll get right to it. Travel – We were excited to have resumed client travel...
SEC Risk Alert: Review of ESG Investing
As we know from the SEC’s recent 2021 Examination Priorities, ESG remains a top focus for SEC staff this year, and is likely to remain in the spotlight for some...