News
Is Your Venture Capital Exemption Safe?
Overview Venture capital managers are expanding investments and strategies to meet ever-changing investor objectives, including...
Heightened Scrutiny of Federal Agencies: Supreme Court Rules on Chevron & Jarkesy
On June 27, 2024, the Supreme Court ruled, in SEC v. Jarkesy (2024), that defendants...
SEC Division of Examinations Announces 2023 Examination Priorities
On February 7, the SEC’s Division of Examinations (the “Division”) announced its updated examination priorities...
When is Chief Compliance Officer Liability Appropriate?
Many chief compliance officers of registered investment advisers often, and understandably, worry about their personal...
SEC Fines J.P. Morgan Securities for Recordkeeping Failures
“As technology changes, it’s even more important that registrants ensure that their communications are appropriately...
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...
SEC Division of Examinations Announces 2021 Examination Priorities
On March 3, the SEC’s Division of Examinations (“EXAMS”, or the “Division”, formerly known as...
The New Normal: Maintaining Compliance Programs Remotely
The way most of us work together has changed. Video calls have replaced the conference...