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Investment Management › Compliance › Chief Compliance Officers

SEC Compliance Consultants, Inc. (SEC³)

Top Compliance Program Mistakes (and How to Avoid Them) (Part 2 of 2)

SEC Compliance Consultants, Inc. (SEC³) on

As discussed in our prior article, it's important to have a well-built foundation for your compliance program. But creating the program is just the start of the journey. Compliance is a journey requiring adaptation,...more

Alston & Bird

CFTC Commissioner Warns That CCOs May Face Personal Liability

Alston & Bird on

Our Investment Funds Group reviews the implications of a Commodity Futures Trading Commission (CFTC) policy targeting chief compliance officers (CCOs) as individuals if their companies’ compliance programs fail....more

Morrison & Foerster LLP

Marketing Rule Implementation – Are You Ready for November 4th?

Morrison & Foerster LLP on

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

Society of Corporate Compliance and Ethics...

[Virtual Event] ESG and Compliance Conference - June 17th, 8:25 am - 3:45 pm CDT

Society of Corporate Compliance and Ethics... on

Environmental, Social, and Governance (ESG) risks cannot be effectively managed as an isolated function within a company, nor are they issues only for publicly traded companies. ESG is front and center for organizations of...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

K&L Gates LLP

SEC Enforcement Actions Against Investment Advisers

K&L Gates LLP on

According to the SEC’s most recent financial report, as of August 2014, SEC-registered investment advisers managed $62.3 trillion in assets. Not surprisingly, investment advisers attract a great deal of attention from the...more

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