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Recent consultative processes in Europe and the United States reflect the interest being shown by regulators around the world in the problem of “short-termism” in capital markets.
Sometimes it seems that enough is never really enough. While compliance officers have grown intimately familiar with SEC Rule 206(4)-7…
If you’ve been considering joining us in Scottsdale for our Sept. 23-25 compliance event, here are seven reasons you should…
In recent months, we have begun to offer roundtable events focusing on important, evolving topics within the compliance world.
Virtual Private Networks (“VPNs”) are a secure way for employees to access firm files remotely, whether working from a home…
Are you the designated chief compliance officer of a state-registered investment advisory firm? If so, you must be clocking many…
Cybersecurity is a risk that applies to firms both large and small without discrimination. Even very small advisory firms, which…
In an article posted by Ignites Europe, the Commission de Surveillance du Secteur Financier (CSSF) in Luxembourg declared that it…
For private fund advisers, fee and expense reviews are a cornerstone to a sound compliance program. The SEC repeatedly reinforces…
One week after the SEC adopted Regulation Best Interest and Form CRS, a Cincinnati roundtable hosted by Fort Washington Investment…
We’ve all been there before…you get a request to review marketing materials, and there’s urgency to it. Great! You’ve successfully…
By a 3-1 vote, on June 5, 2019, the SEC acted to provide a new regulatory framework to help retail,…
