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SEC Announces Fiscal Year 2023 Enforcement Results
On November 14, 2023, the SEC announced its enforcement results for Fiscal Year 2023 (ending on September 30, 2023).
Exciting News in Cybersecurity!
Our very own Jacob Cane, CISSP, Head of Cybersecurity Risk Services at Salus GRC, recently took the mic on Beyond Alpha!
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 remarks at the New York City Bar Association Compliance Institute.
RIA Compliance Considerations and the Bitcoin Spot ETF
Cryptocurrency may be one of the most significant asset classes to emerge in recent years and is progressively garnering more institutional support and regulatory legitimacy than initially expected.
Cybersecurity Tips for Operational Due Diligence Practitioners
Cybersecurity considerations are a critical component of operational due diligence reviews, but few operational due diligence (ODD) professionals start out as cybersecurity experts.
CFTC Proposes Amendments to CFTC Regulation 4.7
The Commodity Futures Trading Commission (“CFTC”) recently published a rule proposal that would amend CFTC Regulation 4.7.
SEC Releases 2024 Exam Priorities
On October 16, 2023, the SEC’s Division of Examinations (“EXAMS”) released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the EXAMS plans to focus on in the upcoming year.
SEC Sanctions on AIM
On September 22, 2023, the SEC imposed sanctions, including an aggregate fine of $1,645,460, on American Infrastructure Funds, LLC (AIM) for certain violations of its fiduciary duty to its private fund clients.
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 under the Advisers Act, 38a-2 under the Investment Company Act, and amendments to Rule 204-2 of the Advisers Act.
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