October 14, 2019 Giving Voice to Values: A New Approach to Ethics The “Giving Voice to Values” program grew out of Professor Mary Gentile’s frustration of what was going on in both…
October 11, 2019 Tips for Developing a Tailored Private Fund Compliance Calendar As regulatory concerns proliferate and become more complex, developing and monitoring your “to-do” list becomes of paramount importance. John Gentile,…
October 8, 2019 Brexit: Implications for Shareholders with Threshold Interests As yet another deadline approaches for the United Kingdom to either leave the European Union with a withdrawal agreement in…
October 7, 2019 Can We Say That Now? Predictions on Marketing and Advertising Amendments Can we say that now? That’s what attendees at the recent CSS Compliance Conference in Scottsdale, Arizona wanted to find…
October 3, 2019 Recent Privacy Law Changes for Advisers a Focus of Cyber Discussion in Scottsdale Regulators and legislators certainly have been busy in 2019, leaving little breathing room for financial firms. More data privacy laws…
October 2, 2019 Running Toward the RegTech Revolution I like to get to conferences early when I can. It lets me absorb the local environment, which often informs…
September 30, 2019 Virginia Investment Adviser Rules Amended – September 16, 2019 Compliance Date Last week we discussed the changes to the Massachusetts IA Disclosure Rule. That is not the only state legislature that…
September 23, 2019 Updates to the Massachusetts Investment Adviser Disclosure Rule The states continue to be busy with new rule-making! On June 14, 2019 the Massachusetts Securities Division (the ‘Division’) adopted…
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…
September 13, 2019 CFTC Orders Firm to Pay $1.5 Million in Connection with Phishing Cyber Breach, Cites Inadequate Cyber Training The Commodity Futures Trading Commission (CFTC) isn’t holding back when it comes to holding firms accountable for protecting their client’s…
September 12, 2019 Cayman Islands Data Protection Law Nears Taking Effect Cybersecurity regulations have landed ashore on the islands, and life is about to become anything but a beach for firms…
September 9, 2019 SEC Risk Alert Puts Spotlight on Principal Trading, Agency Cross Trades On September 4, 2019, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued another risk…