More Flack on WhatsApp, Hypothetical Performance SmackDown, A Timely Warning on the Pay-to-Play Rule, and Updates to Qualifying Venture Capital Fund Exemption - This month's big news from the SEC was more piggy-bank breaking...more
9/4/2024
/ Asset Management ,
Broker-Dealer ,
Campaign Contributions ,
Compliance Monitoring ,
Enforcement Actions ,
Fines ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Marketing ,
Pay-To-Play ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Self-Reporting ,
Settlement ,
Venture Capital ,
Workplace Communication
Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more
8/28/2024
/ Asset Management ,
Chief Compliance Officers ,
Compliance ,
Compliance Monitoring ,
Corporate Governance ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Portfolios ,
Policies and Procedures ,
Portfolio Managers ,
Regulatory Requirements ,
Risk Mitigation ,
Securities and Exchange Commission (SEC)
Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more
6/28/2024
/ Advertising ,
Asset Management ,
Broker-Dealer ,
Compliance ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Marketing ,
Private Equity Funds ,
Private Funds ,
Regulation BI ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual report....more
4/30/2024
/ Annual Reports ,
Chief Compliance Officers ,
Compliance ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Firms ,
Policies and Procedures ,
Portfolio Managers ,
Regulatory Oversight ,
Risk Management ,
Securities and Exchange Commission (SEC)
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more
4/29/2024
/ Annual Reports ,
Asset Management ,
Beneficial Owner ,
Compliance ,
Corporate Transparency Act ,
Deadlines ,
Disclosure Requirements ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Firms ,
New Rules ,
Private Equity Funds ,
Private Funds ,
Regulatory Standards ,
Reporting Requirements ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation