Jun 5, 2024 | Insights
Background: The Corporate Transparency Act requires certain businesses and entities to provide beneficial ownership information to the Financial Crimes Enforcement Network (FinCEN). SEC Registered Investment Advisers: The investment adviser entity and private fund...
Aug 23, 2023 | Insights
The SEC charged the Firm with a number of violations of the Advisers Act Titan is a Fintech Investing App that provides investment advice primarily to retail investors. The SEC charged the Firm with a number of violations of the Advisers Act. Although Titan primarily...
Jun 15, 2023 | Insights
Compliance Best Practices Based on Recent SEC Enforcement Actions Related to Private Fund Advisers Fund Audits The SEC charged a number of investment advisers that failed to comply with the Custody Rule requirements and/or to timely update their SEC disclosures to...
Feb 28, 2023 | Insights
2023 SEC Exam Priorities Overview Introduction It’s that time of year again, the time when registered investment advisors (“RIAs”) and broker dealers (“BDs”), jointly (“Firms”) routinely review and update their compliance programs. A component of this process...
Sep 22, 2022 | Insights
Tides of Digital Asset Regulation In the past 12 months, there has been a flurry of statements, rhetoric, proposed legislation, and legal proceedings relating to digital assets in the US. Politicians, the CFTC, the SEC, and state regulators have stepped forward with...
