News

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...

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 recorded and are not conducted outside of official channels in order to avoid market oversight”...

SEC Division of Examinations Risk Alert: Investment Advisers’ Fee Calculations

It is important for clients to receive timely and accurate information regarding fees and expenses when hiring an investment adviser because every dollar an investor pays in fees and expenses...

2021 Third Quarter Compliance Letter

Guidance, Enforcement, Hot Topics, & More for Investment Advisers As of: September 30, 2021 It’s hard to believe Q4 is already here! Q3 was an incredibly exciting time for HighCamp....