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DCS Alert - SEC Enforcement Actions Related to the Marketing Rule and Hypo Performance Data

SEC Enforcement Actions Related to the Marketing Rule and Hypothetical Performance Data

On September 11, 2023 the SEC announced settled Administrative Proceedings with nine investment advisers for advertising hypothetical performance to the general public on their websites without adopting and/or implementing policies and procedures required by the Marketing Rule.  In addition, two of the

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DCS Alert-Division of Examinations - Safeguarding Customer Records and Information at Branch Offices

SEC Division of Examinations Risk Alert: Safeguarding Customer Records and Information at Branch Offices

The SEC Division of Examinations (“Examinations”) issued a Risk Alert on April 26, 2023 to highlight the importance of establishing written policies and procedures for safeguarding customer records and information at branch offices.  Examinations provides that a branch office includes any location

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Division of Examinations - Observations from Examinations of Newly Registered Advisors

Division of Examinations Risk Alert: Observations from Examinations of Newly-Registered Advisers

The SEC Division of Examinations (the “Division”) issued a Risk Alert on March 27, 2023 detailing observations from examinations of newly-registered investment advisers.  The Risk Alert provides information about the typical focus areas reviewed during examinations of newly-registered investment advisers. It also

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Division of Examinations: 2023 Examination Priorities

On February 7, 2023, the Division of Examinations of the United States Securities & Exchange Commission (“EXAMS”) published the 2023 Examination Priorities.  Like previous years, the 2023 Examination Priorities provides certain data regarding the scope of the examination program and the growth

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