July 9, 2021 Expanding Your Compliance Program: Robust Compliance Management in a Post-Pandemic Era Compliance departments were no strangers to constraints during the pandemic. They were yet another area of the investment management industry that felt the effects of the pandemic, specifically with budget and…
June 2, 2021 CCO Liability: Do you have a target on your back? When the SEC set out to require registered investment advisers to implement a compliance program and designate a chief compliance…
November 18, 2020 Form CRS “Fiduciary” Guidance Received by IAA in June 2019 Still Valid Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment…
September 1, 2020 Navigating Regulatory Change: How to Win the Regulatory Game Being a Chief Compliance Officer navigating regulatory change is a lot like quarterbacking an offense in an action-packed (American) football…
January 31, 2020 Key Takeaways from 2020 OCIE Exam Priorities On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated…
April 30, 2019 How to Be a Wildly Effective Compliance Officer Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the…
January 7, 2019 SEC’s Latest Risk Alert Focuses on Electronic Communications The SEC’s most recent risk alert, “Observations from Investment Adviser Examinations Relating to Electronic Messaging,” issued on December 14, 2019,…
November 9, 2018 SEC Alerts Investment Advisers to Review Solicitor Arrangements On October 31, OCIE issued a new Risk Alert for investment advisers with solicitor arrangements. The SEC periodically releases risk…