Seth Davis

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Latest Posts › Compliance

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OCIE Issues Risk Alert Regarding Advisers and Principal and Agency Cross Trading

On September 4, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert regarding principal trading and agency cross transactions under Section...more

10/15/2019 / Compliance , Cross Trading , Investment Adviser , Investment Advisers Act of 1940 , OCIE , Regulatory Oversight , Regulatory Requirements , Risk Alert , Securities and Exchange Commission (SEC) , Securities Transactions

CFTC Releases Enforcement Advisory Regarding Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

On March 6, 2019, the Commodity Futures Trading Commission’s (Commission) Division of Enforcement (Division) released an Enforcement Advisory (Advisory) on self-reporting and cooperation for violations of the Commodity...more

3/8/2019 / CFTC , Commodity Exchange Act (CEA) , Compliance , Cooperation , Enforcement Guidance , Foreign Corrupt Practices Act (FCPA) , Self-Reporting

Regulatory Monitor: SEC Update

On February 7, 2018, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2018 examination priorities. This year’s priorities comprise five principal areas: (1)...more

5/2/2018 / Anti-Money Laundering , Compliance , Cybersecurity , ETFs , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , MSRB , Municipal Advisers , Mutual Funds , OCIE , Retail Investors , Robo-Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Underwriting

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