Dorsey PF 2018 Symposium
When: September 26, 2018 (8:30 am – 6 pm) Where: Dorsey & Whitney LLP | 51 W. 52nd Street | New York, NY 10019 Directions
Outsourced Chief Compliance Officer
One of our goals is to help directors and trustees feel confident that our outsourced CCO solution will help control and manage regulatory liability. Chief
Exciting Summer Project — Dig Into Some Sand or Dig Into Your Firm’s Best Ex Process?
The Office of Compliance Inspections and Examinations (OCIE) issued a risk alert July 11 targeting investment advisers’ most common deficiencies with regard to their best
SEC Adopts Fund Liquidity Reporting and Disclosure Changes
The final week of June was a busy one for SEC releases following the SEC’s June 28th open meeting. Among these was a revisit of
More SEC Settlements – This Time Form PF Filing Deficiencies
On June 1st, the SEC announced settlements with 13 RIAs who repeatedly failed to file Form PF reports. Most of these firms never filed over
Chief Compliance Officer Roundtable: Breakfast Briefing
When: June 14, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom
Two Recent Enforcement Actions Against Private Fund Advisers
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
Webinar: 2018 SEC Exam Priorities & Recent Exam Highlights
Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you. Tobin S. Cochran, Managing Member/President of
Tips for SEC Exam Preparedness
Read SEC Exam Tips in PDF Format Before the SEC comes in: Disclosure, Disclosure, Disclosure. Make sure it’s adequate and complete. It’s not a cure-all,
2018 – Are you ready for your next SEC exam?
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
Chief Compliance Officer Roundtable: Breakfast Briefing – February 7, 2018
When: February 7, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom
Navigating the Changes to Form ADV
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
