Compliance into the Weeds: The Dark Side of AI in Employee Training
What to Do When Leadership Doesn’t Take Compliance Seriously
Compliance Tip of the Day - The ROI of Compliance
Moving Beyond the Usual Helpline Data
Avoiding a Bored Board
Compliance Tip of the Day: Compliance Responses to Design Intelligence
Compliance Tip of the Day: Avoiding CCO Liability
#Risk New York Speaker Series: Exploring AI Risks in Compliance with Gwen Hassan
Everything Compliance: Episode 155, To Tesla and Beyond Edition
Great Women in Compliance: Culture. Data. Ethics with Hui Chen
Compliance Amidst a Global Consensus Breakdown
Great Women in Compliance – Compliance is the Floor, Ethics is the Ceiling with Ellen Hunt
Innovation in Compliance: Innovative Approaches to Compliance and Training with Catherine Choe
FCPA Compliance Report: Upping Your Game in Compliance
Compliance Tip of the Day: Empowering Middle Managers to Drive Compliance Transformation
Creativity and Compliance: From Compliance Enforcers to Trusted Advisors: The Path Forward
Compliance Tip of the Day: Middle Managers as the Eyes and Ears of Compliance
Great Women in Compliance: Exploring the Future of Compliance - Key Takeaways from Compliance Week 2025
Mistakes Lawyers Should Avoid When Moving into Compliance
Innovation in Compliance: Exploring the Fractional COO Model with La Tonya Roberts
Chief Compliance Officers face the challenge of running a comprehensive yet efficient compliance program that nimbly adapts to changing regulatory requirements and business practices. As compliance consultants, we see our...more
As the end of 2024 approaches, it is crucial that all investment advisers—including registered investment advisers (RIAs) and exempt reporting advisers (ERAs)—complete end of the year regulatory and compliance tasks and...more
The compliance date for the SEC’s new investment adviser Marketing Rule is November 4, 2022, allowing just over a month for an investment adviser to finalize its implementation process to comply with the Rule, which applies...more
On April 26, 2022, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) issued a risk alert concerning deficiencies related to Section 204A of the Investment Advisers Act of 1940 (“Advisers...more
On April 26, 2022, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert flagging certain notable deficiencies that it has observed related to advisers’ potential misuse of material non-public information (MNPI) in...more
Rule 38a-1 under the Investment Company Act of 1940 (the 1940 Act) requires funds to review their compliance programs, as well of those of their service providers, including their investment advisers (advisers), annually....more
For the past decade, anti-money laundering (“AML”) has been at the forefront of securities regulators’ priorities. Indeed, AML enforcement cases have resulted in some of the highest fines imposed by securities regulators,...more
Summaries of recent legislative and regulatory developments with respect to: •The SEC’s Examination Priorities for 2021- •The SEC’s Focus on Digital Asset Securities- •The SEC’s New Marketing Rule... ...more
On November 19, 2020, the SEC published a risk alert providing an overview of notable compliance issues identified by the agency’s Office of Compliance Inspections and Examinations (“OCIE”) under Rule 206(4)-7 (the...more
Compliance is a key issue for all firms. Many companies use the U.S. sentencing guidelines as a starting point. In other instances, regulators craft a starting point with rules that direct the creation of programs....more
The SEC's Office of Compliance Inspections and Examinations (“OCIE” or the “Office”) announced its 2019 Examination Priorities just before Christmas and the current Government partial-shutdown (here). While nonemergency...more
On February 7, 2018 the SEC's Office of Compliance Inspections and Examinations (OCIE) announced its 2018 National Exam Priorities. The priorities, formulated with input from the Chairman, Commissioners, SEC Staff and fellow...more
As we start the New Year, we would like to remind our clients of certain regulatory developments and upcoming deadlines for Q1 2018. New Form ADV - The new Form ADV takes a deeper dive by requiring additional...more
Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more