News
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...
2021 Second Quarter Compliance Letter
We hope this letter finds you all well. It has been an active quarter, so...
SEC Risk Alert: Review of ESG Investing
As we know from the SEC’s recent 2021 Examination Priorities, ESG remains a top focus...
SEC Division of Examinations Announces 2021 Examination Priorities
On March 3, the SEC’s Division of Examinations (“EXAMS”, or the “Division”, formerly known as...
2021 First Quarter Compliance Letter
We hope this letter finds you well. It has been an active quarter for compliance;...
Goodbye Advertising and Solicitation Rules, Hello Marketing Rule
Ought we really to be spending enforcement resources to ensure that radio personalities keep mum...
2020 Year In Review for Investment Advisers
I learned most everything I know about business as a young teenager. I learned that...
2020 Third Quarter Compliance Letter
We hope this letter finds you well. The SEC’s fiscal year came to a close...
2020 Second Quarter Compliance Letter
“Everything changes.” Legendary NBA coach Phil Jackson referred to this quote during “The Last...
The New Normal: Maintaining Compliance Programs Remotely
The way most of us work together has changed. Video calls have replaced the conference...
2020 First Quarter Compliance Letter
Our thoughts and prayers go out to everyone across the globe affected by the COVID-19...
2019 Year in Review for Investment Advisers
“If you don’t do it this year, you will be one year older when you...