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On 10 January 2019, the European Commission (EC) published a report on the operation of the Alternative Investment Fund Managers…

The SEC’s most recent risk alert, “Observations from Investment Adviser Examinations Relating to Electronic Messaging,” issued on December 14, 2019,…

Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….

We are proud to announce that Compliance Solutions Strategies has been shortlisted in two categories for the HFM US Hedge…

After several delays earlier this year, the European Commission has finally approved the draft technical standard (RTS) for SFTR. The…

From the top of the world, it’s amazing what you can see. I recently had the opportunity to travel to…

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

On October 31, OCIE issued a new Risk Alert for investment advisers with solicitor arrangements. The SEC periodically releases risk…

The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using…

Ascendant/CSS San Diego Conference Another compliance conference is in the books. We had a great time in San Diego, and…

Over a year ago, OCIE released the Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations…

Retail investors are confused! They fundamentally cannot differentiate between a broker-dealer and an investment adviser. And that has the SEC…