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What the SEC’s Ongoing Vigilance of Mutual Fund Share Class Selection Means for Advisers

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

SEC 2022 Exam Priorities – Learn How They Will Affect Your Compliance Program

The release of the exam priorities report[1] was later this year than in prior years but appears to be worth the wait.  In this year’s report, the Securities and Exchange Commission (“SEC”) outlines, among others, five “significant” areas of focus.  … Read More

The Cybersecurity Evergreen: How Regulators Are Growing Their Focus on Cyberthreats and Protections

Today’s securities markets operate in a complex and seemingly instantaneous environment accelerated by the exponential growth of computing power and interconnectivity. This evolving market space has provided enormous opportunities for investors and investment professionals alike. The same can also be … Read More

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