In an announcement this week related to FY 2016 enforcement statistics, the SEC reported another increase and outlined its continued robust efforts. In 2016, the SEC filed 868 enforcement actions
Continue Reading SEC Continues Enforcement Push as Outlined in its Announcement of FY 2016 Statistics
advisors
New SEC Rule Proposal – Written Business Continuity and Transition Plans for Registered Advisers
By Richard M. Cutshall on
Earlier this week, the SEC issued a Press Release announcing a Rule Proposal that would require SEC-registered investment advisers to adopt written business continuity and transition plans (BCP) as part…
Continue Reading New SEC Rule Proposal – Written Business Continuity and Transition Plans for Registered Advisers