Regulatory Update
January 2023
This month, we discuss the SEC’s Division of Enforcement’s 2022 annual report, FINRA’s recent sweep of crypto-related communications, recently adopted mutual fund rules, and address compliance concerns for real estate fund managers when interest rates rise. We also discuss lessons from recent SEC settlements for failure to supervise, improper cross and principal trades, and failure to take “reasonable steps” to confirm accredited investor status.
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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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Risk Alert – Observations from BD and IA Compliance Examinations Related to Prevention of Identity Theft Under Regulation S-ID
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DOL to Allow for ESG Considerations in Plan Investments
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FINRA Retiring OFAC Search Tool in the New Year
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- News for Broker-Dealers
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The SEC Just Keeps Giving – New Rule Proposals
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News for Mutual Funds
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Proposed Rule: Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
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News for Private Fund Advisers
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NFA Notice to Members 1-25-22: Guidance on the annual affirmation requirement for entities currently operating under an exemption from CPO or CTA registration
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Lessons Learned
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Actions speak louder than words – SMA & Fund Adviser settles for mismatched ESG investment research activities with policies & procedures
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Blatant Disregard for Compliance - RIA & Dual-Hatted CCO Fined For Lack Of Tailored Policies And Procedures
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