Journal of Investment Compliance: Volume 19 Issue 4

OCIE issues risk alert on the most frequently identified advisory fee and expense compliance issues

Robert Van Grover

To summarize and interpret a Risk Alert issued on April 12, 2018 by the US SEC’s Office of Compliance Inspections and Examinations (OCIE) on the most frequent advisory fee and…

SEC chief accountant shines spotlight on audit committees

Stephen G. Stroup

To explain and analyze remarks concerning the importance and responsibility of corporate audit committees made by US Securities and Exchange Commission (SEC) Chief Accountant…

Decoding the SEC rulemaking package on standards of conduct for investment professionals

Mark M. Attar, Marguerite Bateman, Jack P. Drogin, Domenick Pugliese, Rachael Leah Schwartz, Kimberly Karcewski Vargo

To provide an overview of the US Securities and Exchange Commission’s (SEC’s) recently proposed rulemaking package relating to standards of conduct for investment professionals…

FinCEN issues long-awaited guidance on the customer due diligence rule

Satish M. Kini, Robert T. Dura, Zila Reyes Acosta-Grimes

To highlight pertinent points in the frequently-asked questions (FAQs) issued on April 3, 2018 by the US Treasury Department Financial Crimes Enforcement Network concerning its…

New FINRA rules aim to protect seniors and other vulnerable market participants

Brant K. Brown, James E. Anderson, P. Georgia Bullitt, Amelia A. Cottrell

To explain two new Financial Industry Regulatory Authority (FINRA) rule provisions, effective February 5, 2018, that were designed to provide firms with more effective tools to…

SEC announces new guidance for public company disclosures on cybersecurity risks

Stuart Gelfond, Una Dean, Dave N. Rao, Justin Sedor

To discuss the new guidance on public companies’ disclosure obligations regarding cybersecurity risks and incidents, which was recently unanimously approved by the Securities and…

Securities class action filings: 2017 year in review

John Gould, Joseph Grundfest, Alexander Aganin

This paper aims to provide an analysis of securities class action filings in 2017 along with related trends over time and a comprehensive current view of the securities class…