IAA Today Archive

SEC Risk Alert Focuses on MNPI and Code of Ethics Compliance Issues

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April 28, 2022

Keywords: Code of Ethics, MNPI, SEC Examinations

Categories & Topics: Codes of Ethics, Compliance, Insider Trading

SEC Publishes Examination Priorities for 2022

The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.

April 01, 2022

Keywords: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions

Categories & Topics: Compliance, Examinations

SEC Staff Identify Private Fund Adviser Deficiencies

The SEC’s Division of Examinations has issued a Risk Alert with additional key observations of deficiencies in exams of private fund advisers.

February 01, 2022

Keywords: Advisory Contracts, Hedge Funds, Private Equity, Private Funds, SEC Examinations

Categories & Topics: Examinations, Private Funds

Common Triggers of Risk-Based Regulatory Exams and Practice Tips to Avoid Them

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November 29, 2021

Keywords: Columns, SEC Examinations

Categories & Topics: Compliance, Examinations

Gensler Gets Tough on Enforcement Cases, Focuses on “High Impact” Cases

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November 22, 2021

Keywords: Gary Gensler, SEC Enforcement, SEC Examinations

Categories & Topics: Compliance, Enforcement, Examinations

SEC Risk Alert Spotlights Deficiencies, Good Practices ID’d in RIC Exams

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November 12, 2021

Keywords: Investment Company Act, Mutual Funds, Risk Alert, SEC Examinations

Categories & Topics: Business Ops/HR, Compliance, Examinations, Registered Funds

SEC Finds Wide Range of Compliance Issues in Digital Adviser Exams

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November 12, 2021

Keywords: Digital Advice, Risk Alert, SEC Examinations

Categories & Topics: Compliance, FinTech & Digital

Risk Alert Highlights Advisory Fee Calculations, Disclosures, Policies

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November 12, 2021

Keywords: Advisory Fees, Risk Alert, SEC Examinations

Categories & Topics: Compliance, Examinations