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SEC Compliance Outreach Program: Recap of 2022 Seminar

Several years ago, the SEC initiated the CCOutreach program, now called the Compliance Outreach Program, to promote open communications and coordination among various industry related entities – mutual funds, investment advisers and broker-dealers – on compliance issues.  The program was … Read More

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

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