Kelley A. Howes

Kelley A. Howes

Morrison & Foerster LLP

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SEC Staff Offers Roadmap for Alternative Investment Due Diligence Processes

The SEC believes that investment advisers, including pension consultants, are increasingly recommending that their clients invest a portion of their portfolios in private alternative investment funds. In light of that trend,...more

2/12/2014 - Compliance Due Diligence Investors OCIE Risk Management SEC

SEC Adviser Exams Find Widespread Violations of Custody Rule

The SEC’s Office of Compliance Inspections and Examinations reports finding widespread compliance deficiencies related to custody of securities. In its March 4, 2013 National Exam Program Risk Alert, OCIE said that...more

3/8/2013 - Audits Custody Rule Customer Funds Protection Investment Adviser Investors NEP SEC

FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice

In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will aggressively pursue market misconduct. The January 11, 2013 report follows closely on...more

1/16/2013 - Broker-Dealer Compliance Cybersecurity FINRA Investment Adviser Investors

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