NFA set an effective date of June 30, 2021 for a recently adopted compliance rule and related interpretive notice requiring a CPO to notify NFA upon an event that may affect the ability of its pool to fulfill its obligations to pool participants.

A firm settled FINRA charges for failing to reasonably supervise a representative's alternative investment recommendations for certain customers.

The SEC Division of Examinations observed compliance deficiencies related to environmental, social and governance products and services offered by investment advisers, registered investment companies and pooled investment vehicles.

The SEC Division of Corporation Finance and the Division of Investment Management encouraged issuers to allow shareholder proponents to present their proposals through "alternative means" during the 2020 and 2021 proxy seasons.

A firm and its principal settled FINRA charges for failing to establish an adequate AML program and a supervisory system.