October 7, 2019
Can we say that now? That’s what attendees at the recent CSS Compliance Conference in Scottsdale, Arizona wanted to find…
SEC Tag
September 19, 2019
The Securities and Exchange Commission (SEC) has for years stressed that registrants’ disclosure in regulatory filings needs to be written…
August 7, 2019
If you’ve been considering joining us in Scottsdale for our Sept. 23-25 compliance event, here are seven reasons you should…
July 2, 2019
For private fund advisers, fee and expense reviews are a cornerstone to a sound compliance program. The SEC repeatedly reinforces…
May 24, 2019
A sweep of investment advisers is underway by the U.S. Securities and Exchange Commission, which has sent out many letters…
May 8, 2019
On April 16, 2019, the SEC released a Risk Alert providing a list of compliance issues related to Regulation S-P,…
May 7, 2019
Rule 206(4)-7 requires each registered adviser to review its policies and procedures no less frequently than annually, to determine their…
April 29, 2019
One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading…
January 28, 2019
SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission…
December 21, 2018
Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….
August 28, 2018
The Compliance Program Rule continues to be a powerful tool for SEC enforcement, recently used by the SEC to address…
July 27, 2018
If you wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it,…