June 2023 Sample Enforcement Sweep Letter – Boston – Marketing Rule
This is a sample SEC enforcement sweep letter from June 2023 from the Boston Regional Office regarding the Marketing Rule.
June 23, 2023
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SEC Charges Five Private Fund Advisers with Custody Rule and Form ADV Violations
The SEC charged five private fund advisers with custody and Form ADV deficiencies.
September 07, 2023
SEC Settles First Enforcement Action Under the Marketing Rule
SEC settles first enforcement action under new Marketing Rule; charges relate to misleading hypothetical performance in advertisements and several other compliance failures.
August 22, 2023
SEC Brings New Off-Channel Communications Cases, More to Come
SEC and CFTC enforcement cases for recordkeeping and supervision failures involving off-channel electronic communications on personal devices.
August 10, 2023
October 2022 Sample Examination Letter – Recordkeeping and Personal Devices
This is a sample SEC examination letter from October 2022 regarding recordkeeping and the use of personal devices.
October 19, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
June 02, 2022
Electronic Communications Conundrum: Risks vs. Regulatory Obligations
16 steps to take in light of the SEC's enforcement case for supervisory and recordkeeping failures stemming from the use of personal devices for business communications.
February 18, 2022
2022 Sample Enforcement Letter – New York – Off-Channel Text Messages
This is a sample SEC enforcement letter from 2022 from the New York Regional Office regarding a dual-registrant’s off-channel text messages.
January 26, 2022