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The SEC is watching advisors’ COVID-19 response

A pandemic isn't an excuse for advisors to relax compliance — in fact, the pressure is greater.

By Paul Helms and Jodi Benassi | April 21, 2020 at 07:56 AM

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In response to the COVID-19 pandemic and disruption in the financial markets, the Securities and Exchange Commission has been monitoring the asset management industry and providing guidance to investment advisors. Although much of this initial effort has focused on regulatory challenges, expect the SEC examination and enforcement functions to scrutinize investment advisors in the years to come.

On March 20, the SEC issued a helpful statement cataloguing the SEC’s coronavirus response efforts. The early SEC Enforcement guidance emphasized public company disclosures, market manipulation and insider trading.

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