Mark Tarallo Authors Article on SEC Risk Alert in Corporate Compliance InsightsPrint PDF
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Mark Tarallo, a partner in Nutter’s Corporate Department, wrote an article analyzing how the recent SEC Division of Examinations risk alert indicates that newly registered advisers may be failing to uphold several of their legally mandated requirements in Corporate Compliance Insights. In the article, “SEC: Newly Registered Advisers Falling Short on Complying With Rules,” Mark discussed how the risk alert identified three areas in particular that the division staff’s review showed to be problematic. Among other things, the staff found repeated failures in the areas of compliance policies and procedures, disclosure documents and filings, and marketing.
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