Title Image

Blog Archive

News, updates and analysis from around the world of compliance

Reduce 13D / 13G filing deadlines to 5 days Require annual cyber security plan reviews Require private fund advisers to…

Release No. Date Details First Quarter 33-11028 Feb. 10, 2022 Modernization of Beneficial Ownership ReportingFile No: S7-06-22Other Release No: 34-94211Comments…

In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…

The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many…