Investment Management Regulatory Update - September 2020
Client Newsletter

Created date


Rules and Regulations

  • SEC Expands Access to Private Offerings

Industry Update

  • OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise


  • Token Issuer Settles SEC Allegations of Failing to Register under Section 5 of the Securities Act
  • Investment Adviser and its Chief Compliance Officer Settle SEC Charges Arising Out of Alleged Failure to Conduct Compliance Reviews, and Altering Compliance Reports Provided to SEC Examiners
  • Investment Adviser Settles SEC Allegations of Custody Rule Violations