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Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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Feeling your Pain: Advice for Updating Form ADV

With the deadline for many investment advisers to file their annual Form ADV coming March 31st, we tackle some of the most challenging questions and share guidance for easing the process.

Article
  • SEC
  • Compliance
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Three Key Updates on SEC Cybersecurity Regulations

The SEC issued three important updates regarding cybersecurity rule proposals. These updates represent a shift that normalizes standards and increases governance expectations.

Cyber Alert
  • Cybersecurity
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Tip for Updating Your Compliance Program: Marketing Rule Compliance

The SEC has stated that future examinations will include a focus on compliance with the new Marketing Rule. We share our guidance for preparing and updating your firm's compliance program.

Article
  • Compliance
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CISO Checklist for First 100 Days of Cybersecurity Program Management

This checklist provides key steps for a new Chief Information Security Officer (CISO) to take to set a cybersecurity program up for success.

Article
  • Cybersecurity
  • Cybersecurity Resources
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Potential for Phishing Campaigns After Multiple Bank Collapses

The recent bank failures creates a unique social engineering opportunity for bad actors as clients of these banks are eager for information and updates, and more likely to fall victim to phishing attacks and email compromise.

Cyber Alert
  • Cybersecurity
Bank

Silicon Valley Bank, Signature Bank, and Silvergate Bank: Responding to Market Disruption with a Stronger Compliance Program

Six key areas your firm should focus on now: the decisions that compliance professionals make this week after recent bank collapses will have important implications for their firms, the clients that they serve, and the capital markets generally.

Compliance Alert
  • Compliance
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The SEC Proposes Big Changes to the Custody Rule

Responding to changes in "technology, advisory services, and custodial practices," the SEC’s proposal expands the current rule’s coverage to all client assets where the adviser has custody.

Compliance Alert
  • Compliance
  • SEC
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ESG Issue Brief: Gender Equality

Achieving gender equality would benefit the economy, prevent violence against women and girls, and stimulate social progress. Unfortunately, inequality is a global plague.

Article
  • ESG
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SEC Amends Rule 15c6-1 to Reduce Settlement Time

The SEC recently adopted an amendment to reduce the time to settle a security purchase or sale from T+2 to T+1 and added Rule 15c6-2.

Compliance Alert
  • Compliance
  • SEC
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Tip for Updating Your Compliance Program: MNPI Compliance Issues

In the third article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for MNPI and Code of Ethics compliance.

Article
  • Compliance
  • SEC