The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in the ...
Speaking to a packed audience of compliance professionals at SEC headquarters April 19, Commission Chair Mary Jo White acknowledged the “critical role” that compliance plays ...
It’s amazing that all these years after the custody rule was toughened by the SEC that no one had raised this issue until now. The ...
Two signs that an organization’s compliance program may be deficient are that the compliance officer is a “senior leader, who on a day-to-day basis has ...
The SEC will remain focused on never-before-examined investment advisers and investment companies and hopes to ratchet up the number of exams it conducts with a ...
Message received. The morning of the SEC’s Compliance Outreach Program April 19 officials counted cherry-picking among current exam/enforcement focus areas. That same afternoon the Commission ...
Some may flinch at the thought of government asking private entities for the names of staffers who have made political contributions but OCIE’s doing just ...
If you have even one client based in Canada, you must alert authorities there. But you could opt to file for an exemption from registration ...
There aren’t many of you (the SEC estimates 28) but some investment advisers that advise at least one liquidity fund and manage at least $1 ...
Marshall Sprung, co-chief of the SEC Division of Enforcement’s Asset Management Unit, will be leaving the Commission later this month. He has served as co-head ...