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Chief Compliance Officers Partnerships

Dorsey & Whitney LLP

What Lies Ahead? Q1 2018 Investment Management Regulatory Updates and Reminders

Dorsey & Whitney LLP on

As we start the New Year, we would like to remind our clients of certain regulatory developments and upcoming deadlines for Q1 2018. New Form ADV - The new Form ADV takes a deeper dive by requiring additional...more

Genova Burns LLC

Candidates, Contributions & Compliance in Connection with New Jersey’s 2017 Gubernatorial Election

Genova Burns LLC on

On Tuesday, June 6th, New Jersey held its 2017 gubernatorial primary election. Voters went to the polls to choose the Republican and Democratic candidates for Governor. Now that we know that the general election will feature...more

The Volkov Law Group

The Human Factor: Joint Venture Partner Compliance (Part III of III)

The Volkov Law Group on

It is time for another in my series of profound grasps of the obvious – compliance comes down to people. A company violates its code or the law because of human actions or inaction....more

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