Blog CSS

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…

What makes one firm – and the various professionals who represent it – live and breathe by the book, while…

On August 26, 2020, the Securities and Exchange Commission amended Rule 501(a) of the Securities Act of 1933, expanding the…

Throughout my career, I’ve never heard a business leader say compliance isn’t important. Time and again, through countless conversations and…

Being a Chief Compliance Officer navigating regulatory change is a lot like quarterbacking an offense in an action-packed (American) football…