Miami Compliance Roundtable
When: March 30th 2015 Where: Kaufman Rossin Fund Services | 2699 Bayshore Drive, Miami FL 33133 Plea...
SEC to Conduct Second Phase of Cybersecurity Sweep
After completing a sweep of 100 firms focusing on preparedness concerning cybersecurity in 2014 and ...
Permanent Bars as an Effective Deterrent
At the SEC Speaks 2015 Program on February 20, 2015, two SEC Commissioners gave their personal remar...
Adviser Sanctioned for Inadequate Compliance Policies and Procedures
In January 2015, the SEC settled an action against a registered investment adviser who agreed to sev...
NSCP Canadian Conference
When: March 4th 2015 (8:00am-4:00pm) Where: St. Andrew’s Club & Conference Centre | ...
Dallas CCO Compliance Roundtable
When: March 05, 2015 Where: The Crescent Club | 200 Crescent Court, 17th Floor, Dallas, TX 75201 Ple...
SEC Highlights Importance of Risk Assessments
The SEC stated in their 2015 Examination Priorities that, as was the case in prior years’ prioriti...
SEC Issues Risk Alert with Cybersecurity Sweep Examinations Summary
On February 3, 2015, the SEC released their long-awaited Risk Alert reviewing the results of OCIE...
SEC Announces Examination Priorities for 2015 – And New Year’s Resolutions for CCOs
As the SEC has been doing at the start of each year in recent years, the SEC announced its examinati...
Recent SEC Speech Highlights Continued Focus on Private Equity
In her recent keynote address at the Columbia Law School Conference on Current Issues in Securities ...