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…

Anti-Money Laundering | Business Continuity and Disaster Recovery | Code of Ethics | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Form ADV | Investment Advisers Act | IT Compliance | Patriot Act | SEC News

2015 Regulatory Review for Investment Advisers, Hedge Funds and Private Equity Funds Part 1 of a 2 Part series

November 10, 2015 By: Jaqueline M. Hummel,  Managing Director  Toward the end of the year, I take an inventory of the changes to the SEC’s regulatory landscape in the past…