April 23, 2020
We don’t know when, but at some point we will have to put on shoes, get a haircut and return…
Blog
April 22, 2020
It has been 50 years since the SEC last addressed valuation practices for funds registered under the Investment Company Act…
April 20, 2020
On March 27, ESMA published a consultation on changes to the technical standards of trade reporting under the EMIR Refit…
April 7, 2020
The SEC today issued Risk Alerts identifying areas related to Form CRS and Regulation BI on which examiners will focus…
April 3, 2020
We understand that COVID-19 has brought many stresses, both personal and professional. To many private fund advisers, this may seem…
April 2, 2020
Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce…
March 30, 2020
The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry…
March 27, 2020
In addition to the SEC providing relief and support to investment advisers, the North American Securities Administrators’ Association (NASAA) and…
March 26, 2020
On March 25, 2020, the SEC issued a new Order extending and relaxing some of the conditions pertaining to the…
March 24, 2020
CHICAGO, March 24, 2020 — Envestnet, Inc. (NYSE: ENV) has entered into a strategic partnership with Compliance Solutions Strategies (CSS) to offer a comprehensive,…
March 24, 2020
On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in…
March 23, 2020
During the last week, the CFTC issued several no-action letters aimed at providing temporary relief from certain recordkeeping, operations requirements,…