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HEADS UP: SEC Division of Examinations Identifies Gaps and Signals Need for Main Office Policies and Procedures to be Applied at Branch Office Locations

May 11, 2023

The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers. The Alert recommends firms consider...

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The SEC adopted changes to Form PF impacting large hedge fund advisers and all PE advisers.

May 09, 2023

Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers

The most significant change is the addition of “event reporting” upon the occurrence of...

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Incident Reporting on the SEC’s Radar as Regulator Seeks to Mandate a Federal Breach Notification Standard

Apr 20, 2023

A steady increase in the threat that data breaches pose to individual investors has spurred the Securities and Exchange Commission to revisit the issue of safeguarding customer information.

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Are You Ready to Comply with the New SEC Marketing Rule?

Aug 25, 2022

Time is running out

With the upcoming deadline of the 4th November, 2022, the new SEC Marketing Rule requires firms to create composites around similarly managed portfolios for performance reference, even if...

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Physics, Aircraft Carriers, and Liquidity Buckets

Apr 17, 2018

At its March 14 open meeting, the SEC approved a proposal that while still mandating funds to use the SEC’s Form N-PORT to report liquidity classifications, commonly known as “buckets”, it would, among other...

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