Many compliance officers live in hope that if they ramp up their persuasive skills, engage employees with spectacular training presentations, and provide succinct and prompt advice, they will receive the respect and...more
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....more
12/16/2024
/ Broker-Dealer ,
Business Entities ,
Chief Compliance Officers ,
Compliance ,
Investment Adviser ,
Investment Companies ,
Policies and Procedures ,
Private Funds ,
Regulation S-P ,
Regulatory Oversight ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers Act Rule 206(4)-7, the SEC stated that an...more
8/28/2024
/ Asset Management ,
Chief Compliance Officers ,
Compliance ,
Compliance Monitoring ,
Corporate Governance ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Portfolios ,
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Portfolio Managers ,
Regulatory Requirements ,
Risk Mitigation ,
Securities and Exchange Commission (SEC)
SEC’s Division of Examinations (“EXAMS”) issued a risk alert on its Initial Observations Regarding Advisers Act Marketing Rule Compliance (the “Risk Alert”), giving compliance officers an unexpected gift by sharing examples...more
5/22/2024
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Chief Compliance Officers ,
Compliance ,
Disclosure ,
Investment Adviser ,
Investment Firms ,
Marketing ,
Policies and Procedures ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Social Media
Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual report....more
4/30/2024
/ Annual Reports ,
Chief Compliance Officers ,
Compliance ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Firms ,
Policies and Procedures ,
Portfolio Managers ,
Regulatory Oversight ,
Risk Management ,
Securities and Exchange Commission (SEC)
There are times when it makes sense to hire an expert. Securities regulations are complicated, and failure to comply can be costly, both in terms of fines and damage to reputation. Here are the top reasons registered...more