chief compliance officers Tag

On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight…

The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,…

On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers…

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…

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

On July 21, 2021, the SEC’s Division of Examinations released a Risk Alert addressing their observations from examinations of investment…

How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…

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…

If there is one certainty about regulatory compliance, it is that nothing is static (isn’t that one of the things…

We understand that COVID-19 has brought many stresses, both personal and professional.  To many private fund advisers, this may seem…