February 22, 2022 ESG: SFDR’s “Article 10” website disclosures To state the obvious, the EU’s Sustainable Finance Disclosure Regulation (SFDR) has received immense attention from the financial sector in…
February 11, 2022 New SEC Rules Re-cap Release No. Date Details First Quarter 33-11028 Feb. 10, 2022 Modernization of Beneficial Ownership ReportingFile No: S7-06-22Other Release No: 34-94211Comments…
February 9, 2022 Private Fund Adviser Risk Alert Part II On January 27, 2022, the SEC’s Division of Examinations (the “Division”) published a second risk alert for private fund advisers…
January 7, 2022 Adapting your RIA Compliance Program for Crypto The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,…
December 29, 2021 Custody Rule Vigilance In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…
December 22, 2021 SEC Staff Statement on Form CRS Disclosures The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…
December 22, 2021 2021 RegTech in Retrospect The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many…
December 21, 2021 Hackers Return to the Field with a Proven Playbook What’s worked Back in April 2021, when the SolarWinds hack was publicly disclosed, much of the world discovered just how…
November 30, 2021 SEC Staff Issues Risk Alert on Robo-Advisers On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…
November 19, 2021 SEC Proposes Modernization to Process for Applications On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data…
November 12, 2021 SEC Chair Gensler Puts Private Fund Advisers in the Spotlight In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give…
November 8, 2021 Compensating Advisers: Compliance Updates from the Department of Labor On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers…