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Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the…

One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading…

Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…

United States and European Union reporting requirements imposed on investment managers have exploded since the Global Financial Crisis and, with…

You timely filed your Form ADV within 90 days of fiscal year end, but, did you properly answer all the…

Guest post by Samson Williams, Partner – Axes & Eggs and Keynote Speaker – Ascendant CSS Spring 2019 Conference  I…

The European Securities and Markets Authority (ESMA) has updated its Questions and Answers on the application of the Alternative Investment…

The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance…

The SEC announced on Wednesday, Feb. 27 that it approved an interim final rule amending the timing requirements for filing…

Consider joining us in Miami from April 15-17 to examine the implications of new and evolving regulations and technologies, explore…

Fresh from our London conference “Looking at the Year Ahead – Global Compliance and Data Priorities” – a rousing success! – we’ll cover takeaways from a key panel discussion on shareholder monitoring and disclosures.

Compliance programs face challenges in balancing global requirements with local exceptions while incorporating the fast pace of regulatory change, addressing…