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News - September 02 2022
2022 Summer Roundup – What You Missed, What Is Happening This Fall
Summer is coming to a quick close, and we hope you had a chance to get moving and enjoy some fun in…
News - August 23 2022
Did Shakespeare get it right? Is past really prologue when it comes to your mutual fund share class selection, conflicts, and disclosures? Find…
News - August 04 2021
On July 21, 2021, the SEC Division of Examination issued two new risk alerts on Wrap Fee Programs and Principal and Cross…
News - December 11 2020
Multi-Branch Office Supervision and Compliance – OCIE Details Deficiencies
Last month, OCIE released a Risk Alert urging SEC-registered investment advisers to consider the “unique risks and challenges presented by “employing a…
News - October 22 2020
SEC Chair and Director of Enforcement Review the Record
In a likely preview of the SEC Division of Enforcement 2020 Annual Report, SEC Chair Jay Clayton and Division of Enforcement Director…
News - December 05 2019
Do The SEC Enforcement Directors’ 2019 Successes Preview Their 2020 Priorities?
Despite “significant headwinds,” including “adverse” holdings in Supreme Court cases and a significant disruption in Congressional funding in the beginning of the…
News - November 21 2019
SEC Zeroes in on Investment Adviser Compensation Conflicts
On October 18th, 2019, more than a year after the launch of the SEC Share Class Disclosure Initiative and targeted enforcement activity,…
News - October 03 2019
SEC Turns Up Heat on Share Class Selection Disclosure, Now Focusing on Other Forms of Compensation
The SEC Enforcement Division is continuing to concentrate on firms that did not self-report by the deadline of the SEC’s Share Class…
News - May 02 2019
SEC Enforcement Investigating Firms That Did Not Self-Report
The SEC's Enforcement Division has now initiated investigations against firms that did not self-report by the deadline of the SEC’s Share Class…
News - February 15 2019
Bates Group’s FINRA 529 Share Class Initiative Support for Firms
Last week, Bates sent a time-sensitive Alert concerning FINRA’s new Share Class Initiative -- similar to the SEC’s Share Class Initiative, except…
News - February 01 2019
FINRA Rolls Out Its 529 Plan Share Class Initiative - Is Your Firm Ready to Address It?
On the heels of the SEC’s 12b-1 Share Class Initiative, FINRA just announced its own Share Class Initiative. FINRA’s Share Class Initiative…
News - January 03 2019
OCIE to Prioritize Protection of Retail Investors in 2019 Examinations
The SEC Office of Compliance Inspections and Examinations ("OCIE") will prioritize risks to retail investors in this year’s examinations. That concern is…