Regulatory Update
April 2023
Congratulations to all advisers with a December 31 fiscal year end - you have emerged from another annual Form ADV "season"!
This edition of our Regulatory Update includes tips to carry out a stellar annual compliance program review, practical thought leadership to help you digest the SEC's latest risk alert for new advisers, updates on the recent banking sector volatility, a reminder about Form BE-12 filing obligations, and insight regarding the NFA's latest rule proposal aimed at firms engaging in digital asset investing activities. Download to read our unique insights and practical thought leadership as well as a checklist of important dates for the months of April and May.
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In this newsletter, we reflect on the latest regulatory updates and developments of note.
Articles Include:
- News for All Firms
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Banks Fall Under Greater Scrutiny After FDIC Takeovers
- Just When You Thought Your Filing Obligations Were Done - BE-12 Form Filing Requirement
- Three Key Updates on SEC Cybersecurity Regulations
- FINRA 2023 Entitlement User Account Certification Period Announced
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- News for Investment Advisers
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- SEC Schools Newly Registered Advisers on Exam Missteps
- Write the Best Annual Compliance Review Ever!
- News for CPOs/CTAs
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Proposed NFA Compliance Rule 2-51: Requirements for Members and Associates Engaged in Activities Involving Digital Asset Commodities
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- Lessons Learned
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- Everybody Else is Doing It!
- SEC Fines Adviser and Principal Owner $3 Million for Alleged Fraud and Misuse of Cannabis Investment Fund Assets
- Auditors Talked the Talk but Failed to Walk the Walk in Valuation Testing
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