By addressing the common pitfalls discussed in this article, firms can strengthen their compliance infrastructure and better demonstrate their commitment to regulatory responsibility.
Advisers often spend significant time drafting compliance manuals, but are these policies truly effective in daily operations and risk mitigation?
In this first post of our three-part series on common compliance program mistakes, we explore why many firms fall into the trap of the “neglected compliance manual” and how to transform it into a relevant, firm-specific, and engaging resource.
Stay informed with our February–March 2025 Regulatory Roundup, featuring practical insights on key SEC developments, including updates to the Marketing Rule, crypto regulation, and Rule 506(c) under Regulation D.
Check out the latest trends we are seeing in SEC examinations for private fund managers, including a sharper focus on conflicts of interest, fee transparency, and compliance with evolving regulatory expectations.
Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines.
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