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The UK and EU have finally agreed to terms on Brexit that will likely lead to ratification of an historically…

In late 2022, SEC registered investment advisers will be required to comply with new marketing and client solicitation rule-making, adopted…

SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with…

ESG – the integration of environmental, social and governance considerations into the investment process – has claimed center stage in…

Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment…

It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also…

In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed…

Cybersecurity is a fast-moving target, so it is not uncommon for firms to have questions when it comes to assessing…

This is the second installment of Regulatory Guidance Expert Greg Hotaling’s blog on position limits, this time addressing EU-listed commodity…

On October 8, 2020 the SEC published updated FAQs regarding the disciplinary question in Form CRS.  In an unusual step,…

On July 21, 2020, The New York State Department of Financial Services (NYDFS) filed its first charges under its Cybersecurity…

Every once in a while, I think it’s important to get back to the basics. Since the adoption of the…