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SEC Compliance Updates
SEC Division of Examinations Risk Alert: Investment Adviser MNPI Compliance Issues
On April 26, 2022, the SEC Division of Examinations (“EXAMS”) issued a risk alert highlighting investment adviser material non-public information (“MNPI”) compliance issues found during examinations. Advisers are required to...
2022 First Quarter Newsletter
Rule Proposals, Exam Priorities, Risk Alerts, & More for Investment Advisers April 2022 The first quarter of 2022 was the most active quarter for private fund advisers on risk...
2021 Year-In-Review for Investment Advisers
Guidance, Enforcement, Hot Topics, & More January 2022 I feel very fortunate to be writing HighCamp’s fifth Year-In-Review letter. To be completely candid, I questioned whether a ski bum...