Exciting Summer Project — Dig Into Some Sand or Dig Into Your Firm’s Best Ex Process?
Learn about OCIE’s recent alert on best execution deficiencies. Understand key considerations and address them effectively.
SEC Adopts Fund Liquidity Reporting and Disclosure Changes
Explore the recent changes to the SEC’s Liquidity Rule affecting reporting requirements and classification of holdings.
More SEC Settlements – This Time Form PF Filing Deficiencies
Discover SEC settlements with 13 RIAs for failure to file Form PF reports. Learn about penalties and Advisers Act Rule 204(b)-1 violations
Chief Compliance Officer Roundtable: Breakfast Briefing
Join industry experts for a compliance officer event in NYC. Network, discuss topics of interest, and register now for insightful discussions
Two Recent Enforcement Actions Against Private Fund Advisers
Don’t misinterpret 2018 SEC compliance concerns. Dive into recent cases like Visium Asset Management and Premium Point Investments.
Webinar: 2018 SEC Exam Priorities & Recent Exam Highlights
Join our SEC compliance webinar with Tobin S. Cochran & Janaya P. Moscony for insights on 2018 SEC Exam Priorities & Recent Exam Highlights.
Tips for SEC Exam Preparedness
Stay ahead by preparing for the SEC examination process with comprehensive tips. From disclosure to response strategies, ensure compliance.
2018 – Are you ready for your next SEC exam?
Learn essential SEC exam preparation tips and strategies to ensure your firm is ready for regulatory scrutiny.
Chief Compliance Officer Roundtable: Breakfast Briefing – February 7, 2018
Join industry experts for a seminar on SEC chief compliance officer topics. Register now for networking and valuable insights.
Navigating the Changes to Form ADV
Stay informed about the recent SEC updates to Form ADV. Get insights on disclosure requirements and compliance assistance
Overlooked Benefits of E&O/D&O
Learn about the importance of E&O and D&O insurance for asset managers amid SEC emphasis on individual accountability
Upcoming Events – September & October 2017
Join industry experts in NYC for upcoming compliance events covering PF management, CCO roundtables, and post-investment relationships