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…
When the SEC set out to require registered investment advisers to implement a compliance program and designate a chief compliance…
Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment…
Being a Chief Compliance Officer navigating regulatory change is a lot like quarterbacking an offense in an action-packed (American) football…
On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated…
Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the…
The SEC’s most recent risk alert, “Observations from Investment Adviser Examinations Relating to Electronic Messaging,” issued on December 14, 2019,…
On October 31, OCIE issued a new Risk Alert for investment advisers with solicitor arrangements. The SEC periodically releases risk…
