October 12, 2021 Cryptocurrencies in Your Compliance Program Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. To registered…
June 15, 2021 Expanding Your Compliance Program – Trade Surveillance Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…
June 14, 2021 SEC Publishes Regulatory Agenda The SEC has proposed a busy regulatory agenda. Among the topics listed are: ESG (proposal stage) Cybersecurity risk disclosure (proposal…
May 26, 2021 Changing Times: How Compliance Officers Should Address Regulatory Changes If there is one certainty about regulatory compliance, it is that nothing is static (isn’t that one of the things…
April 6, 2021 Public Pension Fund Independent Compliance Reviews Many state and local government pension funds use third-party investment advisers to manage assets within their pension plans. Pension fund…
August 27, 2020 The Case for an Interim Evaluation of your Compliance Program How prepared was your firm for the disruption of COVID-19 pandemic? Did your firm’s business continuity plan cover a pandemic?…
April 22, 2020 Coming of Age – The SEC Proposes Modernized Fund Valuation Practices It has been 50 years since the SEC last addressed valuation practices for funds registered under the Investment Company Act…
March 30, 2020 SEC Grants Section 17a No-Action Relief to Open-End Funds The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry…
November 12, 2019 SEC Sets Clear Expectations Regarding Registered Investment Companies’ Compliance Programs Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of…
September 19, 2019 Improving Mutual Funds’ Principal Risks Disclosure The Securities and Exchange Commission (SEC) has for years stressed that registrants’ disclosure in regulatory filings needs to be written…
January 28, 2019 SEC Reopened After 35-Day Government Shutdown SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission…
November 12, 2018 SEC Retail Investor Focus Turns Towards Registered Investment Companies Earlier this year when the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2018 examination priorities, OCIE stated…