Category: SEC Risk Alert
Annual Compliance Program Review | Blue Sky Filings | Broker Dealer | Compliance Program Rule, Rule 206(4)-7 | Compliance Programs | Conflicts of Interest | Cybersecurity | Disclosures | Examinations and Audits | Form ADV | Investment Advisers | Mutual Funds | SEC Risk Alert | Seniors and Vulnerable Investors | States | Supervision
SEC’s Top Eleven Hits: Investment Adviser Regulatory Review 2019
In addition to basic blocking and tackling, compliance officers often have the thankless job of performing the annual review of their compliance program required by Advisers Act Rule 206(4)-7. As…
Cash Solicitation Rule | Disclosures | Hedge Funds | Private Equity Funds | Referrals | SEC Risk Alert
12 Things You Need to Know about Adviser Referral Arrangements and the Cash Solicitation Rule
OCIE recently issued a Risk Alert on common exam deficiencies in complying with the Cash Solicitation Rule, Rule 206(4)-3, of the Advisers Act. It is not surprising that OCIE decided…
Advertising and Marketing Regulation | Compliance Programs | Custody | Cybersecurity | Department of Labor | Form ADV | Hedge Funds | Private Equity Funds | SEC Risk Alert
SEC’S TOP ELEVEN HOT BUTTONS: REGULATORY REVIEW 2017
At the end of the year, I review the changes to the SEC’s regulatory environment over the past 12 months. My goal is to identify the biggest hot buttons for…
Best Execution | Compliance Programs | Department of Labor | ERISA | Performance Advertising and Reporting | Private Investment Funds | Regulatory Filings | SEC Risk Alert | Whistleblower
Key Takeaways for Updating your Compliance Program in 2017: Investment Advisers, Hedge Funds and Private Equity Funds
Based on the regulatory developments from 2016 (see our blog post), here’s our suggestions for updates for your compliance manual for 2017. The Department of Labor’s (“DOL”) Conflict of Interest…