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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…

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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…