OCIE Announces New Acting Director
Last week, the U.S. Securities and Exchange Commission (“SEC”) announced that Marc Wyatt will succeed Andrew Bowden as the Acting Director of the Office of Compliance Inspections and Examinations (“OCIE”). Although Wyatt has been with the SEC since 2012, for … Read More
SEC Chair Speaks In DC
Over the past few years, the Securities and Exchange Commission (“SEC”) has made it very clear that bringing enforcement actions for misconduct remains one of its top priorities. In 2014, the SEC reported having charged 80 people in cases involving … Read More
Compliance End-Of-Year Checklist Update
October 2014
Compliance Considerations for Advisers and Sub-Advisers of Mutual Funds
August 2014
Alternative Mutual Fund Exam Sweep
Last month the director of the Securities and Exchange Commission’s (“SEC’s”) Division of Investment Management, Norm Champ, spoke to the Practicing Law Institute’s Private Equity Forum regarding an upcoming national sweep of alternative mutual funds. It is expected that the … Read More
2014 Solutions for Compliance Professionals
March 2014