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Asset Management › Form ADV › Securities Regulation

SEC Compliance Consultants, Inc. (SEC³)

The Most Wonderful Time of the Year: Form ADV Season

SEC Compliance Consultants, Inc. (SEC³) on

For most investment advisers, March signals the beginning of Form ADV season, where compliance officers gather all kinds of firm data to update a document fraught with potential regulatory liability. For the uninitiated, Form...more

Stinson LLP

SEC Proposes Enhanced Safeguarding (Custody) Rule for Registered Investment Advisers

Stinson LLP on

On February 15, 2023, the U.S. Securities and Exchange Commission (SEC) proposed to exercise its authority by amending and re-designating Rule 206(4)-2 under the Investment Advisers Act of 1940 (the Custody Rule)....more

Proskauer - The Capital Commitment

Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness

Proskauer - The Capital Commitment on

Asset managers commonly engage regulatory compliance consultants to aid them in addressing regulatory requirements and implementing compliance programs. The work of those compliance professionals can be drawn into SEC...more

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