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NEWSLETTER: It’s no surprise the upcoming election continues to dominate proceedings. Although the SEC has been relatively quiet on the regulatory update front, its attention to enforcement is as sharp as ever.
Earlier this year, the regulator charged several investment advisers for violations related to the marketing rule. While most of the rule’s aspects are hopefully becoming standard parts of your marketing programs, it’s worth using this time to evaluate whether your processes and advertisements are exposed to any new or existing risks.
The SEC has also been hot on the heels of investment advisers violating whistleblower protection rules. It charged several companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede whistleblowers from reporting potential misconduct to the regulator.
Now is an opportune moment to use this regulatory ‘down time’ to make sure your policies and procedures are up to scratch, and that your people understand what’s expected of them. We’re always around to help, so please get in touch if you want to discuss any of these topics or need support.
Rebecca Thorpe, Global Head of Regulatory Consulting and Aron Brown, Global Head of Regulatory & Compliance
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