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On January 27, 2022, the SEC’s Division of Examinations (the “Division”) published a second risk alert for private fund advisers…

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…

What’s worked Back in April 2021, when the SolarWinds hack was publicly disclosed, much of the world discovered just how…

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…

For global investors, the accelerating pace of ESG regulatory developments portends a massive, additional layer of compliance obligations they will…

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