Are you ready for your next SEC exam?
We know first-hand the stress involved when the SEC calls to inform you that they are coming onsite ...
CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
When: April 13, 2016 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York...
Liability and Outsourcing – Identifying and Controlling the Real Risks Part 2 of 2: Choosing a CCO
The roles and responsibilities undertaken by Chief Compliance Officers (“CCOs”), whether...
New Year, Same Requirements
Individual liability is quickly rising to the forefront of the radar of the Securities and Exchange ...
Happy New Year and Important Reminders Regarding CCO Liability
As we begin a new year, our thoughts turn to our clients and friends who have made our progress poss...
How to Make $13 Million Before the New Year
The SEC announced on December 13 that they have brought charges against a New Jersey man and his com...
SEC Raises Awareness Surrounding CCO Outsourcing
Yesterday, the SEC indirectly affirmed that registered investment advisers and investment companies ...
SEC Provides Clarity on When and How the Enforcement Division Goes After CCOs
Yesterday, Director of the Enforcement Division of the Securities and Exchange Commission, Andrew Ce...
The SEC Outdoes Itself Again Announcing A Record Year for Enforcement Action
The Securities and Exchange Commission announced on October 22, 2015 a comprehensive report describi...
The Hunt Continues: SEC Goes After Large Private Equity Firm for Undisclosed Fees
On October 7, 2015, the SEC announced a large settlement with a private equity firm charged with fai...