What the SEC’s New Cybersecurity Guidance Means for Investment Advisers and Investment Companies
By Janaya Moscony, CFA; Irshad Karim; Linda Smith; Claire Owens, SEC Compliance Consultants Publishe...
SEC Sanctions Investment Adviser for Failure to Devote Resources to Compliance Function
The SEC recently settled a proceeding brought against an investment adviser firm, its former Preside...
Greenwich CCO Compliance Roundtable
When: June 24th 2015 Where: The Belle Haven Club | 100 Harbor Drive, Greenwich CT 06830 Please join ...
SEC Proposes Extensive Amendments to Form ADV as Well as New Reporting Requirements for RIAs and RICs
On May 20, 2015, the SEC unanimously approved extensive proposed amendments to Form ADV that, if ado...
SEC Continues Heavy Focus on Private Equity
The SEC is continuing to focus heavily on the private equity sector, reminding advisers in this spac...
SEC Issues New Cybersecurity Guidance for Investment Advisers and Investment Companies
The SEC’s Division of Investment Management recently released new guidance to registered investmen...
Your CCO May Now Have An Incentive to Turn You In
The Securities and Exchange Commission today announced an award of more than a million dollars to a ...
SEC Charges Advisor with Failing to Disclose Conflict of Interest to Clients and Fund Boards
The SEC has charged an advisor with failing to disclose a conflict of interest to their clients and ...
SEC Warns of Using Confidentiality Language to Stifle Whistleblowers
On April 1, 2015, the Securities and Exchange Commission announced its first ever enforcement action...
SEC Reminds Advisers of the Need for Gifts and Entertainment Policies
In February 2015, the SEC’s Division of Investment Management issued guidance to the public with r...