SEC Actions

This is the SEC's 9th annual report around its use of Form PF data

EXAMS contacted NLCA’s Chief Compliance Officer by email on October 14, 2020 to alert him that the firm had failed to file Form CRS. NLCA, ...

Investment advisers should consider whether any advice regarding LIBOR-linked investments and applicable risks is consistent with their clients’ goals

Comments should be received on or before January 3, 2022

Upright Trust maintained no written policies and procedures .... did not have any specific procedures on calculating the NAV, and there were no procedures designed ...

Institutional investors and investment advisers generally retain PVABs to assist with voting determinations on behalf of their clients as well as “other aspects of the ...

As McKinsey consultants, Investments Committee members were routinely privy to MNPI relating to, for example, financial results, planned bankruptcy filings, mergers and acquisitions, product pipelines ...

"We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...

DOE encourages advisers to review routinely, refine, and improve, as appropriate, their fee billing policies, procedures, and practices and address new risks as they are ...

We are adopting amendments to rule 205-3 to replace the specific dollar amount thresholds in the rule’s net worth and assets-under-management tests with references to ...