Author: Allison Fraser

Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. To registered…

Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…

The SEC has proposed a busy regulatory agenda. Among the topics listed are: ESG (proposal stage) Cybersecurity risk disclosure (proposal…

If there is one certainty about regulatory compliance, it is that nothing is static (isn’t that one of the things…

Many state and local government pension funds use third-party investment advisers to manage assets within their pension plans. Pension fund…

How prepared was your firm for the disruption of COVID-19 pandemic? Did your firm’s business continuity plan cover a pandemic?…

It has been 50 years since the SEC last addressed valuation practices for funds registered under the Investment Company Act…

The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry…

Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of…

The Securities and Exchange Commission (SEC) has for years stressed that registrants’ disclosure in regulatory filings needs to be written…

SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission…

Earlier this year when the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2018 examination priorities, OCIE stated…