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SEC, FINRA Crack Down on “Duty of Care” Violations

August 28, 2024 by

Enforcement actions are once again on the rise. The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are cracking down on violations of “Duty of Care” highlighting the importance of making sure your clients’ best interests are always top of mind.… Read More

Blog | Corporate & Business Formation | Corporate Counsel | Formation Services | Investment Advisers | Investment Companies | Mergers & Acquisitions | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Are you a Prime Target for SEC EXAMS? Determining your Risk Quotient and How to Prepare.

August 15, 2024 by

A common question that investment advisers often wonder is: When is the next time the U.S. Securities and Exchange Commission (“SEC”) will examine me?

The answer to this often lies in the risk quotient tied to the firm.

When the last time the adviser was examined, new products and service offerings, and tips, referrals and complaints all factor into this. The SEC has a risk-based approach to determining when advisers should be examined which also can be driven by new rules and resources available to the SEC staff to conduct registrant examinations.… Read More

Blog | Corporate & Business Formation | Corporate Counsel | Formation Services | Investment Advisers | Investment Companies | Mergers & Acquisitions | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Considerations for Mergers and Acquisitions in the AI Space

August 5, 2024 by

Contrary to analysts’ predictions, mergers and acquisitions (M&As) did not surge as expected in the first part of the year. However, there is one area that continues to see high activity: M&As in the AI sector. Reuters reported a 42% spike in M&A transactions in technology in the first quarter of 2024, bringing in the largest share of M&A deals in that time period.… Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Chevron Overturned, Now What? How the Supreme Court’s Decision on Federal Regulators Can Affect You

July 22, 2024 by

On June 28, 2024, the Supreme Court overturned the “Chevron Doctrine,” stripping judicial discretion from regulatory agencies and putting it back in the hands of the courts. This event came as a result of a lawsuit against the US Securities and Exchange Commission (SEC), which found that the securities and finance regulatory agency overstepped its judicial power when it tried a fraud case internally and found the accused guilty of fraud.… Read More

Annual Reviews & Risk Assessments | Blog | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Four Hot Topics to Consider for Your 2024 Annual Review

July 2, 2024 by

What should you consider when performing your annual review? With so many new regulations and amendments, it can be challenging to keep abreast of what areas the SEC is scrutinizing and expecting advisers to examine closely. You should consider first and foremost the highest risks, as well as the areas that have been in the headlines for the last several months. … Read More

Annual Reviews & Risk Assessments | Blog | Form ADV & Disclosure Documents | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance

2024 Regulatory Considerations for Internet-based Investment Advisers

June 25, 2024 by

Would an adviser have to register in every single state in which they serve clients? In 2002, the U.S. Securities and Exchange Commission (SEC) responded to that issue by establishing the Internet Adviser Exemption Rule. On March 27, 2024, the SEC issued an amendment to the internet adviser rule to meet the advancements and saturation of technologies and to outline what it meant to offer investment advisory services online in today’s market. Another reason for amending the exemption was the concerning number of firms that were not meeting their compliance requirements.… Read More

Annual Reviews & Risk Assessments | Blog | Investment Adviser Regulatory Counsel (SEC & State) | Private Fund Counsel | Regulatory Compliance | RIA, Private Fund, BD, etc.

SEC Private Fund Rules Overturned

June 6, 2024 by

On June 5, 2024, the Fifth Circuit Court of Appeals overturned the SEC’s New Private Fund Rules introduced in August 2023 (the “Private Fund Rules”). Given that the Private Fund Rules imposed several limitations and prohibitions that ran counter to the fundamental principles of a private fund, this was a significant victory for private fund advisers.… Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance

Concerns Over Compliance Responsibilities Cause Pause for Broker-Dealers Considering Independence

May 28, 2024 by

Broker-dealers seeking to transition to the independent business model – either as a hybrid (where they would remain associated with a broker-dealer) or fully independent (at an RIA-only firm) hesitate due to several key considerations.… Read More

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