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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…

Investment strategies focusing on certain environmental or social themes have been around for a long time. Historically, these strategies were…

Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…

The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021.  On September…

Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT…

As the world prepares to address emerging COVID variants, there is another threat to people’s security: emerging ransomware variants. As…