Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is.
On September 6, 2023, the staff of the US Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) issued a risk alert describing how it selects.
Congratulations to all advisers with December 31 fiscal year ends – you have emerged from another annual ADV “season”, as we affectionately call it! Welcome to our.
On March 27, 2023, the Division of Examinations of the Securities and Exchange Commission (SEC) published a risk alert (Alert) entitled "Observations from Examinations of Newly-Registered Advisers.