News

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...

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 Office of Compliance Inspections and Examinations or OCIE) released their 2021 exam priorities. As...

2021 First Quarter Compliance Letter

We hope this letter finds you well. It has been an active quarter for compliance; new faces at the SEC, the 2021 priorities were announced, firms began the ramp up...

Goodbye Advertising and Solicitation Rules, Hello Marketing Rule

Ought we really to be spending enforcement resources to ensure that radio personalities keep mum about their positive advisory experiences? After all, testimonials are extremely common for other products and...

2020 Year In Review for Investment Advisers

I learned most everything I know about business as a young teenager. I learned that grit and hard work can overcome most challenges. I learned the power of teamwork and...

2020 Third Quarter Compliance Letter

We hope this letter finds you well. The SEC’s fiscal year came to a close on September 30. The SEC will be releasing its 2020 reports this quarter and we...