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Seward & Kissel LLP

SEC Extends Compliance Dates for Amendments to Names Rule

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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

SEC Compliance Consultants, Inc. (SEC³)

Tips for Updating Your Compliance Program in 2025

SEC Compliance Consultants, Inc. (SEC³) on

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

A&O Shearman

COVID-19: Compliance and Legal Considerations for Asset Managers

A&O Shearman on

As the world responds to COVID-19, we have identified a number of compliance and legal considerations for asset managers. We summarize a select list of these in our note below....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

Carlton Fields

SEC Commissioners Making a “Noisy Exit”

Carlton Fields on

Securities and Exchange Commission members Daniel M. Gallagher and Luis A. Aguilar will soon leave the SEC, but neither is keeping quiet about the SEC’s treatment of chief compliance officers (CCOs). Gallagher recently...more

Morrison & Foerster LLP

Conflicts of Interest: When You're Having Too Much Fun at That Business Lunch

Morrison & Foerster LLP on

How should fund directors monitor gifts and entertainment received by investment adviser personnel? This question moved to the forefront in February, when the Securities and Exchange Commission’s Division of Investment...more

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