As discussed in our prior article, it's important to have a well-built foundation for your compliance program. But creating the program is just the start of the journey. Compliance is a journey requiring adaptation,...more
Chief Compliance Officers face the challenge of running a comprehensive yet efficient compliance program that nimbly adapts to changing regulatory requirements and business practices. As compliance consultants, we see our...more
5/23/2025
/ Chief Compliance Officers ,
Compliance ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
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Regulatory Requirements ,
Risk Assessment ,
Risk Management ,
SEC Examination Priorities ,
Securities Regulation
There has been a lot of conjecture that the SEC may become friendlier to registrants because of the new administration. Given the SEC’s mandate to protect the investing public, however, we do not expect SEC examiners to...more
3/10/2025
/ Anti-Money Laundering ,
Asset Management ,
Broker-Dealer ,
Compliance ,
Disclosure Requirements ,
Enforcement Actions ,
Hedge Funds ,
Investment Adviser ,
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Private Equity ,
Private Funds ,
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Regulatory Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation