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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…

After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s…

The European Union’s Money Market Funds Regulation (MMFR) applies to any Money Market Fund (MMF) that is authorized as a…

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

FINRA first introduced enhancements to the Central Registration Depository (“CRD”) on October 1, 2018, which were rolled out in support…