Compliance Tag

·       Confidential treatment requests for Form 13F (via EDGAR) ·       Applications for orders under the Investment Advisers Act of 1940 (via EDGAR)…

Recent rulemaking developments at the SEC indicate that, if 2021 was a year in which it revealed its intentions about…

Background read – in case you missed it: Investment compliance offices might take note of proposed regulatory changes that would…

On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight…

The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,…

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

The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…

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

On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…

On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data…

In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give…

On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers…