What is it? The Paycheck Protection Program (PPP) is a loan program geared toward small businesses dealing with the jarring disruptions caused by the novel coronavirus (COVID-19). It is a part of the larger $2 trillion CARES Act and run through the
OCIE Risk Alerts: Have You Implemented Regulation BI and Form CRS?
In an April 7, 2020 press release, the SEC Office of Inspections and Examinations (OCIE) issued two risk alerts. The first, involving examinations, focuses on compliance with Regulation Best Interest, and the second focuses on compliance with Form CRS. OCIE has released
Regulation Best Interest and Form CRS Update
The Novel Coronavirus continues to disrupt nearly every industry, including our own. In response to this and the various hardships and logistical headaches it has created, the SEC has issued certain exemptions affecting filing and delivery deadlines. For more information on this,
Cybersecurity and Privacy Concerns to Keep in Mind for Remote Work
As health concerns have increased due to COVID-19, many of you are transitioning some or all of your employees to a work-from-home situation. This creates various concerns regarding cybersecurity and data privacy. Below, we have outlined a number of different issues and
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