SEC Increases Advisers Act Qualified Client Thresholds

June 22, 2021

SEC Division of Examinations Announces its Examination Priorities for 2021

March 16, 2021

SEC Division of Examinations Releases Risk Alert for Digital Asset Securities

March 6, 2021

SEC Revises Marketing Rule for Registered Investment Advisers

February 9, 2021

OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs

December 14, 2020

SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers

October 29, 2020

Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness

October 15, 2020

SEC Cracks Down on Retirement Fund Advisers’ Undisclosed Compensation and Conflicts

August 11, 2020

SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies

July 1, 2020

Fund Adviser Receives $1 Million Penalty For Alleged Performance Misstatements in Private Fund Marketing Material

April 28, 2020