News & Analysis as of

Ethics Registered Investment Advisors

Royer Cooper Cohen Braunfeld LLC

Is it Time to Test Your Recordkeeping and Code of Ethics?

Washington D.C., April 3, 2024, the SEC announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications, as...more

Fox Rothschild LLP

Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

Fox Rothschild LLP on

I. Starting a Broker-Dealer- Becoming an owner of a broker-dealer (BD) is a time-consuming and expensive endeavor. Although the United States Securities and Exchange Commission (SEC) requires BD registration pursuant to the...more

Fox Rothschild LLP

SEC’s Exam Deficiencies

Fox Rothschild LLP on

The SEC recently released its findings relating to exams of investment advisers. In particular, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) found weak compliance programs; insufficient or late...more

Proskauer Rose LLP

OCIE Staff to Examine Registered Advisers' Policies and Agreements for Whistleblower Rule Compliance

Proskauer Rose LLP on

On October 24, 2016, OCIE published a risk alert noting that the SEC exam staff intends to examine registrants' compliance with the Dodd-Frank Act's whistleblower provisions. The alert noted recent enforcement actions...more

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