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SEC Enforcement Stats Serve as Warning to RIAs and Other Firms

by | 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....

SEC Disciplines RIAs for Non-Compliant Hypothetical Performance Advertising

by | Sep 28, 2023 | Advertising, compliance deficiencies, Compliance Violations, Deficiencies, Division of Enforcement, Hypothetical Performance, Investment Adviser Representative, Marketing Rule, policies and procedures, Private Funds, Registered Investment Advisers (RIAs), Retail Investors, RIA Compliance, RIA Compliance Policies, Safeguards Rule, SEC Investment Adviser Compliance, SEC NEWS, Supervision Initiative

On September 11, 2023, the SEC continued its crackdown on Registered Investment Advisers (RIAs) using hypothetical performance advertising by bringing cases against nine advisers. RIAs that advertise hypothetical performance, or plan to do so, should read these SEC...