Compliance departments were no strangers to constraints during the pandemic. They were yet another area of the investment management industry that felt the effects of the pandemic, specifically with budget and…
Are you tired of spending hours opening envelopes, stapling statements together, logging the receipt of statements in a spreadsheet, and…
A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they…
We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather…
Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…
This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…
When the SEC set out to require registered investment advisers to implement a compliance program and designate a chief compliance…
If there is one certainty about regulatory compliance, it is that nothing is static (isn’t that one of the things…
A large cyberattack on U.S. infrastructure – this time a ransomware attack that shut down the Colonial Pipeline – has…
The new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940) is effective on May 4, 2021, starting…
ESMA has recently suggested to national regulators across the EU that they de-prioritize enforcement of MiFID II position limits on…
In recent years, investor awareness regarding environmental, social and governance issues (“ESG”) has grown and investors increasingly look for investments…
