Date: Wednesday, February 17, 2021 Time: 2:00 PM Eastern Standard Time Please join the following speakers for an interactive discussion covering evolving trends in 2021 and regulatory
December 23, 2020 The SEC finally adopted their long-awaited modernization to investment adviser marketing rules. The adopting release can be found here, and the language of
We want to take the opportunity to share a few significant items put out by the SEC last month. Enforcement Annual Report On November 2,
We promised to revisit COVID-19/pandemic specific risks for the near future given we know all current SEC exams are considering these risks. Our last communique
Online via WebEx October 27, 2020 10:00–11:30 a.m. ET Please join Blank Rome Partners and Investment Management Group Co-Chairs Thomas R. Westle and Stacy H.
We promised last week to help you dissect your compliance program to be sure you are ready to answer related questions from regulators and institutional investors. Let’s
As the magnitude of the measures being taken to mitigate the spread of COVID-19 began to shake financial markets and the very way people do
SEC Expands Scope of Examinations to Include COVID-19 (PDF) SECCC
In a release on August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations identified specific COVID-19-related issues, risks, and practices relevant to investment
Please join us for an upcoming webinar: “Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19.” Wednesday, June 3, 2020 2:00-3:00 p.m. EDT Online via
