regulatory compliance Tag

·       Confidential treatment requests for Form 13F (via EDGAR) ·       Applications for orders under the Investment Advisers Act of 1940 (via EDGAR)…

Recent rulemaking developments at the SEC indicate that, if 2021 was a year in which it revealed its intentions about…

Large Corporates and Financial Firms Face a New Breed of ESG Regulation under the EU’s Corporate Sustainability Due Diligence Directive…

For ESG investment managers with Australian products in their portfolios, ASIC notes the following about what lies ahead. Acknowledging that…

During its examinations of advisers and funds, the Securities and Exchange Commission has observed a lack of cyber preparedness, determining…

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,…

In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…

The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…

The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many…

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…