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Asset Managers, Are You Ready for Your Exam? Steps You Should Take Now
  • Sullivan & Worcester LLP
  • USA
  • March 17 2017

Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining


The Top Five "Gotcha" Deficiencies Plaguing Asset Managers and How to Avoid Them
  • Sullivan & Worcester LLP
  • USA
  • March 1 2017

Let’s start with this caveat: as we all know, under the still-new Trump Administration, priorities may and are likely to change. Now that we got that



John Hunt
  • Sullivan & Worcester LLP