compliance

    Regulatory Update

    compliance

    time 5 minute read

    Regulatory Update: SEC Makes Dramatic Changes in Advertising and Solicitor Rules

    On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisements...

    compliance

    time 3 minute read

    OCIE Director Stresses Importance of CCO Empowerment, Seniority and Authority

    In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...
    SEC Risk Alert

    compliance

    time 3 minute read

    SEC Warns RIAs About Compliance Rule Deficiencies & Weaknesses

    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
    SEC Risk Alert

    compliance

    time 5 minute read

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...

    compliance

    time 2 minute read

    How Has The Global Pandemic Impacted Your Compliance Program?

    While the pandemic has given us many personal and professional challenges and considerations, a...

    compliance

    time 5 minute read

    Coronavirus Pandemic – Compliance Challenges and Best Practices

    Since the publication of our March 18, 2020 blog from Les Abromovitz – Coronavirus Pandemic Creates...
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    Regulatory Update: SEC Makes Dramatic Changes in Advertising and Solicitor Rules

    Les Abromovitz | Dec 23, 2020 5:07:15 PM

    OCIE Director Stresses Importance of CCO Empowerment, Seniority and Authority

    Les Abromovitz | Dec 15, 2020 7:15:00 AM

    SEC Warns RIAs About Compliance Rule Deficiencies & Weaknesses

    Les Abromovitz | Nov 24, 2020 6:45:00 AM

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    Les Abromovitz | Nov 18, 2020 6:15:00 AM

    How Has The Global Pandemic Impacted Your Compliance Program?

    Jennifer DiValerio | Sep 3, 2020 7:30:00 AM

    Coronavirus Pandemic – Compliance Challenges and Best Practices

    Sarah E. Alderman | Apr 8, 2020 10:24:52 AM

    Coronavirus Pandemic Creates New Compliance Challenges

    Les Abromovitz | Mar 18, 2020 11:27:39 AM

    SEC Issues Risk Alert -  Investment Adviser Principal and Agency Cross Trading Compliance Issues

    Douglas Kamin | Sep 9, 2019 9:59:40 AM

    How Testimonials & Accolades Can Create Unexpected Compliance Problems

    Les Abromovitz | Aug 23, 2019 8:16:00 AM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.