Advertising and Marketing Regulation | Custody | Cybersecurity | Department of Labor | Form ADV | Hedge Funds | Pay to Play | Penetration Testing | Private Equity Funds

11 Key Takeaways for Updating your Compliance Program in 2018: Investment Advisers, Hedge Funds and Private Equity Funds

Based on our review of the investment adviser regulatory landscape of 2017, these are the top 11 recommendations for investment adviser CCOs for updating their compliance programs: The revisions to the…

Advertising and Marketing Regulation | Best Execution | Code of Ethics | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Custody | Disclosures | Examinations and Audits | Form ADV

SEC EXAMINATIONS: COMPARING EXAM PRIORITIES TO RESULTS

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is upfront about the areas it will be testing during its examinations of investment advisers.  In January, OCIE publishes its Examination…

Advertising and Marketing Regulation | Hedge Funds | Investment Advisers Act | Performance Advertising and Reporting | Private Equity Funds | Private Investment Funds

How to Avoid “Cherry Picking” for Hedge Fund and Private Equity Fund Managers

July 16, 2014 By Jaqueline M. Hummel, IACCP®, AIFA® Managing Director For many hedge fund and private equity fund managers new to the world of SEC regulation, it comes as…