by Ara Jabrayan | Nov 21, 2023 | Books and Records, Chief Compliance Officer, compliance deficiencies, Compliance Violations, Crypto-Assets, Cybersecurity, Division of Enforcement, Division of Examinations, Hypothetical Performance, Investment Adviser Representative, policies and procedures, Press Releases, Private Funds, Registered Investment Advisers (RIAs), RIA Compliance, SEC NEWS, Social Media
On November 14, 2023, the SEC announced that it had filed 784 total enforcement actions during fiscal year 2023, a three percent increase over fiscal year 2022. Enforcement actions are intended to protect investors and enhance public trust in the securities markets.... by Ara Jabrayan | Apr 6, 2023 | Best Execution, Books and Records, Chief Compliance Officer, Compliance Violations, Crypto-Assets, Cyberattack, Cybersecurity, Deficiencies, Division of Enforcement, Division of Examinations, Duty of Care, Emerging Technologies, Environmental, Examination Priorities, Fiduciary Duty, Form ADV, Investment Adviser Code of Ethics, Investment Adviser Representative, Office of Compliance Inspections and Examinations (OCIE), policies and procedures, Press Releases, Private Funds, Registered Investment Advisers (RIAs), Regulation Best Interest (BI), RIA Compliance, RIA Compliance Policies, SEC Cybersecurity, SEC Investment Adviser Compliance, SEC NEWS, SEC Rules, SEC Staff Bulletin, Social and Governance (ESG), Standards of Conduct
On February 7, 2023, the SEC’s Division of Examinations announced its 2023 examination priorities. These examination priorities are published annually to provide insights into the SEC’s risk-based approach. The publication also identifies areas that present potential... by Ara Jabrayan | Apr 7, 2022 | Business Continuity and Disaster Recovery Plans, Crypto-Assets, Deficiencies, Division of Examinations, Emerging Technologies, Examination Priorities, Private Funds, Registered Investment Advisers (RIAs), Retail Investors, RIA Compliance, SEC Investment Adviser Compliance, Social and Governance (ESG)
The long wait for the SEC’s 2022 examination priorities is finally over. On March 30, 2022, the SEC’s Division of Examinations (Division) announced its priorities for the 2022 fiscal year. By reviewing these priorities, Registered Investment Advisers (RIAs) will be...
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