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
Welcome to our December 20243 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines. We start this issue with the SEC’s 2024 enforcement results, which fell somewhat short after its 2023...more
12/31/2024
/ Asset Management ,
Beneficial Owner ,
Compliance ,
Corporate Governance ,
Corporate Transparency Act ,
Disclosure Requirements ,
Enforcement Actions ,
Investment Adviser ,
Investment Firms ,
Publicly-Traded Companies ,
Reporting Requirements ,
Securities ,
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 ,
Policies and Procedures ,
Portfolio Managers ,
Regulatory Requirements ,
Risk Mitigation ,
Securities and Exchange Commission (SEC)