compliance program Tag

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

On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data…

In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give…

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…

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…

Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…

This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…

When the SEC set out to require registered investment advisers to implement a compliance program and designate a chief compliance…