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Investment Adviser › Disclosure Requirements › Chief Compliance Officers

Seward & Kissel LLP

SEC Extends Compliance Dates for Amendments to Names Rule

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Investment Advisers; Boards of Directors; Compliance Officers - Quick Take: The SEC recently announced a six-month extension of the compliance dates for amendments to...more

Eversheds Sutherland (US) LLP

SEC’s focus on compliance: What boards should know

Eversheds Sutherland (US) LLP on

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

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

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