The industry should not misinterpret the SEC’s 2018 National Exam Program Priorities as a shift away from private fund advisers. As discussed during the SEC’s
The pool of registered investment advisers that will be subject to an SEC exam in 2018 is at the highest level seen in years. The
On August 25, 2016, the U.S. Securities and Exchange Commission adopted numerous substantive and technical amendments to Form ADV. While the adopting release required advisers
While asset managers should always be aware of the protections provided by their E&O/ D&O coverage, there are more reasons than ever to think about
Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you. SEC3 is teaming up with industry
Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service for
We hope each of you found some peace and tranquility in the company of loved ones this holiday season and want to wish one-and-all a
In June, we shared our thoughts around common insurance gaps and insurance riders that CCOs as well as managers should understand. One of the gaps
Regulatory Landscape In April 2015, the Securities and Exchange Commission (“SEC’s”) Division of Investment Management issued a guidance update, identifying cybersecurity as a critical issue.
Ever since the enforcement cases were announced as part of the SEC’s “Operation Broken Gate,” the SEC enforcement division has continued to ramp up scrutiny
