December 7, 2021 SEC Division of Examinations Issues Risk Alert on Robo-Advisers December 3, 2021 Investment Adviser to Pay $18 million to SEC for Compliance Failures in Handling MNPI November 29, 2021 SEC Division of Examinations Issues Risk Alert on Investment Advisers’ Fee Calculations November 9, 2021 Seward & Kissel Releases Report on Separately Managed Accounts November 8, 2021 2022 IARD Renewal Program October 19, 2021 SEC’s Division of Corporation Finance Issues Sample Letter to Companies Regarding Climate Change Disclosures October 15, 2021 Chamber of Commerce Releases Results of Survey of Public Companies on ESG and Climate Change October 4, 2021 SEC Settles Securities Fraud Charges with App Annie and its Founder September 15, 2021 SEC Sanctions Multiple Investment Advisers and Broker-Dealers for Cybersecurity Violations September 13, 2021 Adviser Advertising – Marketing Rule FAQs September 1, 2021 SEC Division of Examinations Issues Risk Alert on Examination Observations Regarding Fixed Income Principal and Cross Trades August 18, 2021 SEC Approves Nasdaq Board Diversity Rules August 17, 2021 Erroneous Payment Provisions in Credit Agreement August 17, 2021 SEC Settles Charges with 27 Registered Investment Advisers and Broker-Dealers for Failing to Timely File and Deliver Form CRS August 16, 2021 Asset Management Advisory Committee Makes Diversity and Inclusion Recommendations to SEC Load more
