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Financial Updates on Private Funds, FINRA, and SEC Regulations

Katten highlights key noteworthy developments potentially affecting financial markets and funds such as: sec's move to regulate private funds, 2022 examination priorities, sec and defi regulations, employee monitoring, and the cftc and retail markets. ....

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RIA Examination Priorities for SEC

Wednesday, April 14, 2021
Last month, the SEC Division of Examinations (the Division ; formerly the Office of Compliance Inspections and Examinations ) released its annual Examination Priorities for 2021. RIAs and their Chief Compliance Officers are advised to review the whole report, which can be found
here. Financial advisers registered with the SEC should expect 2021 examinations to focus on the following areas:
Standards of Conduct: The Division will assess whether RIAs have fulfilled their fiduciary duty comprised of the duty of loyalty and duty of care to their client. RIAs should also expect continued examination of their Form CRS, including a focus on readability for clients and timely submission. ....

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Digital Asset Securities for Investment Advisers

If you are a securities industry participant seeking to engage in digital asset-related activities, it is time to develop and enhance your compliance practices, says a risk alert by the SEC’s Division of Examinations. ....

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