Registered investment advisers with state filings are required to annually renew their state ADV registration or their state notice filings of their federal ADV. They
On October 29, 2014, the SEC charged a registered investment adviser, its two principals and the chief compliance officer with repeated violations of the Custody
The SEC announced that for its fiscal year that ended in September, it filed a record 755 enforcement actions covering a wide range of misconduct,
When: September 23rd 2014 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Janaya Moscony, President of SEC Compliance Consultants,
When: September 22th, 2014 Where: Loews Philadelphia Hotel Janaya Moscony, President of SEC Compliance Consultants, Inc., will be a panelist at the conference speaking on
When: October 8-10th, 2014 Where: Powerscourt Hotel, Wicklow Ireland What: Europe’s preeminent hedge fund event Linda Smith, Managing Director at SEC Compliance Consultants, Inc. will
When: August 6th 2014 Where: Anchin Block & Anchin, 1375 Broadway, New York, NY, 23rd Floor Carol Spawn Desmond, Managing Director at SEC Compliance Consultants,
The SEC’s Divisions of Investment Management and Corporation Finance recently provided guidance (the “Guidance”) to investment advisers regarding their obligations in voting client proxies and
SEC Chair Mary Jo White recently shared steps directors can take to meet various SEC expectations. At the annual Stanford Directors’ College, Chair White highlighted
One of the main goals of any registered firm is to avoid an enforcement action. The more you know about trends with regard to enforcement
