SEC Announces Enforcement Results for FY 2016 Oct11

Posted by & filed under Regulatory.

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The Securities and Exchange Commission today announced that, in fiscal year 2016, it filed 868 enforcement actions exposing financial reporting-related misconduct by companies and their executives and misconduct by registrants and gatekeepers, as the agency continued to enhance its use of data to detect illegal conduct and expedite investigations

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Amendments to Form ADV and Investment Advisers Act Rules Sep29

Posted by & filed under Regulatory.

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On August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted amendments to Form ADV and to certain rules promulgated under the Investment Advisers Act of 1940, as amended (the “Advisers Act”).[1] The effective date of these amendments is October 31, 2016, but the compliance date is not untilOctober 1, 2017, and many advisers will not be required to use the amended Form ADV until March 31, 2018

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