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Tag Archives: Advisers
D.C. Circuit Vacates SEC Sanctions, Says Negligent Omissions Are Not ‘Willful’ Under Advisers Act
On April 30, the U.S. Circuit Court of Appeals for the District of Columbia Circuit vacated a Securities and Exchange Commission order imposing sanctions. The court held that an investment advisory firm and its owners did not violate Section 207 of the … Continue reading
Broker-dealers can continue to rely on investment advisers for customer KYC requirements
In a December 12, 2018, letter to a US trade association with members that include broker-dealers in securities (“broker-dealers”), the US Securities and Exchange Commission (“SEC”) extended its no-action relief to broker-dealers who wish to rely on investment advisers to … Continue reading
Posted in Banking and Finance law
Tagged Advisers, BrokerDealers, continue, Customer, Investment, Rely, Requirements
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Overview of State-Registered Investment Advisers and Current Regulatory Issues, Part 2
In our previous post regarding state-registered investment advisers, we examined the landscape and discussed common deficiencies found in state adviser examinations. In this post, we will discuss enforcement actions typically aimed at state-registered investment advisers, as well as current enforcement … Continue reading
Posted in Banking and Finance law
Tagged Advisers, Current, Investment, Issues, overview, Part, Regulatory, StateRegistered
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Reminder: 2019 IARD Account Renewal Obligations For Investment Advisers
This is a reminder that the 2019 IARD account renewal obligation for investment advisers (including exempt reporting advisers) starts this November. An investment adviser must ensure that its IARD account is adequately funded to cover payment of all applicable registration … Continue reading
Posted in Securities Law
Tagged 2019, account, Advisers, IARD, Investment, Obligations, Reminder, Renewal
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OCIE announces risk-based exam initiatives focused on funds and advisers
By Amy Leisinger, J.D. The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert announcing its intention to conduct a series of examination initiatives focused on issues affecting certain registered investment companies and investment advisers. According to … Continue reading
Posted in Banking and Finance law
Tagged Advisers, announces, exam, focused, Funds, Initiatives, OCIE, riskbased
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