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SEC Revises Marketing Rule for Registered Investment Advisers

USA - February 9 2021 On December 22, 2020, the Securities and Exchange Commission (“SEC”) adopted amendments to existing Rule 206(4)-1 (the “Advertising Rule”) and…

Anthony M Drenzek, Michael R Suppappola, Christopher M Wells.

OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs

USA - December 14 2020 On November 19, 2020, the SEC’s Office of Compliance Inspections and Examinations published a risk alert providing an overview of notable compliance…

Anthony M Drenzek, Robert G Leonard, Michael F Mavrides.

OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs

USA - December 3 2020 On November 19, 2020, the SEC published a risk alert providing an overview of notable compliance issues identified by the agency’s Office of…

Anthony M Drenzek, Robert G Leonard, Michael F Mavrides.

SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers

USA - October 29 2020 On October 7th, 2020, the Securities and Exchange Commission (SEC) announced the rescheduled date of its 2020 national compliance outreach seminar…

Anthony M Drenzek, Joshua M Newville, Samuel J. Waldon.

Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness

USA - October 15 2020 Asset managers commonly engage regulatory compliance consultants to aid them in addressing regulatory requirements and implementing compliance…

James Anderson, Joshua M Newville, Samuel J. Waldon.