The SEC and the “RIC-ification” of Private Funds Have recent proposals foreshadowed a fundamental change to the regulation of private funds in the... READ MORE
What’s the Latest in Books and Records Compliance? It should come as no surprise to compliance teams that the management of Books and Records is in... READ MORE
Insider Trading, Crypto and SPACs top the SEC’s List of Concerns The U.S. Securities and Exchange Commission (SEC) recently released it’s report of enforcement... READ MORE
Insider Trading Leads to Criminal and Civil Penalties A consulting firm partner who was advising a global bank on the acquisition of a FinTech loan... READ MORE
SEC’s Annual Agenda Includes Focus on ESG Disclosures The U.S. Securities and Exchange Commission (SEC) recently released its Annual Agenda for 2021. The... READ MORE
Constraints and Pressures Facing Compliance Today What are the most significant pressures facing compliance programs in 2021? And where are the... READ MORE
Pay-to-Play Compliance Key in Record Breaking Election Cycle The Federal Election Commission (FEC) recently released their Statistical Summary of 18-Month... READ MORE
SEC Finds Deficiencies in Disclosing Conflicts of Interest and MNPI The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange... READ MORE
SEC Will Focus on Good Faith Efforts in Reg BI Enforcement On April 7 the SEC published two Risk Alerts providing broker-dealers and investment advisors with... READ MORE
