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SEC Modernizing Investment Adviser Advertising

SEC Modernizing Investment Adviser Advertising
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SEC Division of Examinations Large Traders' Risk Alert

Thursday, January 14, 2021
On December 16, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE,” since reorganized as a separate division of the SEC, i.e., the Division of Examinations [“DivEx”]) issued a Risk Alert entitled “Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations.” My December 8, 2020, blog post, “Meeting Specified Standards: the SEC’s OCIE Assesses Compliance,” emphasizes the importance of compliance by regulated industry participants and notes DivEx reports from examinations of a number of recurring deficiencies.
In its December 16 Risk Alert, DivEx reports on similar inspections of broker-dealers and investment advisers and finds, if anything, even more frequent compliance issues concerning “Large Traders” as defined, with respect to recordkeeping, monitoring, and reporting relevant information using the Ele ....

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Anti Money Laundering Compliance from the CCO

Tuesday, December 15, 2020
Broker/dealers, which function as intermediaries between buyers and sellers of securities, are registered with and regulated by both the U.S. Securities and Exchange Commission (“SEC”) and the Financial institution Regulatory Authority (“FINRA”). They may also be subject to regulatory requirements as part of having trading privileges by particular exchanges such as the NYSE and NASDAQ. Enacted in 1970, the Bank Secrecy Act (“BSA”) established a monitoring and reporting system for banks and all other financial institutions, including broker/dealers, specifically designed to prevent “money laundering.” Money laundering is the transmission of funds either obtained from illegal activities (such as selling narcotics) or intended for illegal activities (such as terrorism). Hence, broker/dealers are obligated to have both strong policies and strong procedures that are anti-money laundering (“AML”). ....

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