This is for all main blog posts.
In partnership with Starkweather and Shepley, the team at Core Compliance & Legal Services, Inc. SM (“Core Compliance”) is excited to announce this year’s Annual Compliance Awards. After last year’s success and growing interest, we’ve decided to enhance our awards … Read More
The U.S. Securities and Exchange Commission (“SEC”) has announced it has proposed to amend Investment Advisers Act of 1940 (“Advisers Act”) and the Investment Company Act of 1940 (“Investment Company Act”) requiring additional disclosures related to their Environmental Social and … Read More
Regulators have showed renewed interest in investment fees in recent years. Specifically, the U.S. Securities and Exchange Commission (SEC) has heightened focus on advisers not complying with the Investment Advisers Act of 1940, when fully disclosing all material conflicts of … Read More
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) issued a Risk Alert last month focusing on notable deficiencies examiners have found related to investment advisers’ compliance with material non-public information (MNPI) and Investment Advisers Act Rule 204A-1 … Read More
So far in this blog post series we’ve covered the understanding of the proposed rules and how to start implementing within your firm. When it comes the proposed cybersecurity regulations announced by the U.S. Securities and Exchange Commission (SEC), we … Read More