Jessica L. Parker Senior Compliance Manager Focus 1 Associates LLC January 31, 2019 (Medford, OR) – Focus 1 Associates (“Focus 1”) announced today the recent addition of Jessica L. Parker, CPA, CIPM, Senior … Read More ›
SEC Regulatory Deadlines for Investment Advisers The information provided in this calendar is intended to help compliance officers update their regulatory calendars for 2019. It does not address all potential regulatory reporting and compliance obligations. Additionally, please note, this calendar … Read More ›
On December 20, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE), released its examination priorities for 2019. As we know, “OCIE is responsible for conducting examinations of entities registered with the SEC, including more than 13,200 investment advisers, … Read More ›
Each year OCIE publishes its exam priorities to promote transparency of its examination program which oversees investment advisers, mutual funds and exchange traded funds, broker-dealers, transfer agents, clearing agencies, national securities exchanges, municipal advisors, FINRA, MSRB, SIPC and PCAOB. This … Read More ›
The SEC released a Risk Alert to remind advisers of their obligations when their personnel use electronic messaging, and to help advisers improve their systems, policies, and procedures. The alert identifies examples of practices that the staff believes may assist … Read More ›
Speech by SEC Commissioner Hester M. Peirce On October 30, 2018 Commissioner Peirce addressed the National Membership Conference of the National Society of Compliance Professionals. Several comments she made struck us as quotable: “…the majority of you are trying to … Read More ›
The SEC issued a Risk Alert on October 31, 2018 to provide investment advisers, investors and other market participants with information concerning the most common deficiencies related to the Cash Solicitation Rule. The alert discusses the requirements for using a … Read More ›
Examination Goals Fiscal year 2018 is over, and 2019 has begun. We don’t know if the SEC’s examination staff has met the goal of 2,120 examinations of registered investment advisers (“RIAs”) or not, roughly 15% of the number of SEC … Read More ›
Standard of Conduct for Investment Advisers The SEC continued to receive comments, with most of the later comments (after the cut-off date) from organizations that presumably gathered suggestions from their members and/or constituents: Members of Congress, AARP, NASAA, ABA, and … Read More ›
First, an update on the proposed Standards of Conduct for Broker-Dealers and Investment Advisers. Several thousand comments were received by the announced end of the comment period, and the SEC’s website is reflecting comments received after the comment period closed. … Read More ›