SEC Risk Alert on Investment Company Core Areas Review
The SEC's Division of Examinations has published a Risk Alert detailing typical document requests and examination observations for registered investment companies. The alert aims to help funds and their advisers enhance their compliance programs and practices by highlighting key review areas such as compliance programs, disclosures, and governance.
SEC Municipal Advisors Risk Alert and Examination Guidance
The SEC's Division of Examinations has published a Risk Alert to assist municipal advisors in understanding the examination process. The alert details potential areas of focus, selection criteria for examinations, and initial document requests.
SEC Division of Examinations Announces 2026 Priorities
The SEC's Division of Examinations has announced its 2026 examination priorities, focusing on areas of heightened risk to investors and compliance with new rules like amendments to Regulation S-P. The priorities aim to provide transparency and encourage firms to strengthen their compliance programs.
SEC Risk Alert on Advisers Act Marketing Rule Compliance
The SEC's Division of Examinations issued a Risk Alert highlighting observations regarding investment advisers' compliance with the Marketing Rule. The alert focuses on disclosure requirements, oversight practices for testimonials and endorsements, and due diligence for third-party ratings.
SEC and CFTC Announce Inter-Agency Coordination MOU
The SEC and CFTC have signed a Memorandum of Understanding to enhance coordination and collaboration between the agencies. This agreement aims to support lawful innovation, uphold market integrity, and protect investors and customers by harmonizing regulatory definitions and coordinating oversight.