Category Archives: Thought Leadership
SEC fines Private Equity Adviser $4 million for Misuse of MNPI and Policy Failures
On December 26, 2023, the SEC fined New York-based private equity fund adviser OEP Capital [...]
SEC Announces Fiscal Year 2023 Enforcement Results
On November 14, 2023, the SEC announced its enforcement results for Fiscal Year 2023 (ending [...]
Exciting News in Cybersecurity!
Our very own Jacob Cane, CISSP, Head of Cybersecurity Risk Services at Salus GRC, recently [...]
SEC Enforcement Head Highlights “Proactive Compliance” and CCO Liability
On October 24, 2023, Gurbir Grewal, the Director of the SEC’s Division of Enforcement, delivered [...]
RIA Compliance Considerations and the Bitcoin Spot ETF
Cryptocurrency may be one of the most significant asset classes to emerge in recent years [...]
Cybersecurity Tips for Operational Due Diligence Practitioners
Cybersecurity considerations are a critical component of operational due diligence reviews, but few operational due [...]
CFTC Proposes Amendments to CFTC Regulation 4.7
The Commodity Futures Trading Commission (“CFTC”) recently published a rule proposal that would amend CFTC [...]
SEC Sanctions on AIM
On September 22, 2023, the SEC imposed sanctions, including an aggregate fine of $1,645,460, on [...]
SEC Releases 2024 Exam Priorities
On October 16, 2023, the SEC’s Division of Examinations (“EXAMS”) released its 2024 examination priorities [...]
The 3 Minute Guide to Preparing for the SEC Cybersecurity Rules
In October 2023 the SEC is expected to finalize new cybersecurity risk management rules: 206(4)-9 [...]