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Exam Deficiencies for Private Fund Advisers

The SEC Division of Examinations, formerly known as the Office of Compliance Investigations and Examinations (OCIE), provided a discussion of key risks and trends in its 2021 Examination Priorities document.

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SEC Guidance on ESG: The Impact on Compliance and Due Diligence

The SEC Division of Examinations recently issued the Risk Alert The Division of Examinations’ Review of ESG Investing to provide observations from recent exams of investment advisers, registered investment companies, and private funds offering Environmental, Social, and Governance (ESG) products and services. 

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CCO Insurance – The Importance of Transparent Escalation

How gaps are addressed is key to the success of your compliance program. But how should firms identify these gaps—and insure that company leadership is aware of them? 

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Minimum Standards for Compliance Technology

The benefits and affordability of current compliance technology are well known to regulators. Recent SEC guidance and risk alerts have consistently pointed to a lack of adequate technology as a deficiency in compliance programs. Could minimum technology standards for compliance be far behind?

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Compliance Budgeting: Reducing Risk While Doing More with Less

Whether you are an emerging private fund, FinTech, or a large global investment bank/asset manager your regulatory and compliance burdens continue to increase, while the pressure to reduce headcount and limit costs also grows.

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