Financial Services Roundtable Series
When: August 6th 2014 Where: Anchin Block & Anchin, 1375 Broadway, New York, NY, 23rd Floor Carol Spawn Desmond, Managing Director at SEC Compliance Consultants,
New SEC Guidance for Investment Advisers’ Obligations Regarding Proxy Voting
The SEC’s Divisions of Investment Management and Corporation Finance recently provided guidance (the “Guidance”) to investment advisers regarding their obligations in voting client proxies and
Steps Directors Can take to Avoid SEC Enforcement
SEC Chair Mary Jo White recently shared steps directors can take to meet various SEC expectations. At the annual Stanford Directors’ College, Chair White highlighted
Understanding SEC Enforcement
One of the main goals of any registered firm is to avoid an enforcement action. The more you know about trends with regard to enforcement
SEC Risk Alert – Cyber Security
As if April 15th wasn’t bad enough? In addition to it being Tax Day, the U. S. Securities Exchange Commission’s (“SEC”) Office of Compliance Inspections
NYC CCO Compliance Roundtable
When: April 29th 2014 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Thomas Westle, Partner, Blank Rome LLP, Janaya
GAIM Ops Cayman 2014
When: April 6-9th, 2014 Where: Ritz Carlton, Grand Cayman What: AIFMD: marketing to European investors of non-EU funds by non-EU managers. Linda Smith, Managing Director,
NSCP Dallas Regional Meeting
When: April 10, 2014 (8am-5pm) Where: Haynes and Boone, LLP 2323 Victory Avenue, Ste. 700 Dallas, TX 75219 What: Catch up on the latest regulatory
GAIM Ops Cayman 2015
When: April 26-29th, 2015 Where: Ritz Carlton, Seven Mile Beach | Grand Cayman, Cayman Islands What: GAIM Ops Cayman Linda Smith, Managing Director, SEC Compliance
If You Have Never Been Examined by the SEC, Get Ready
The Securities and Exchange Commission announced on Thursday, February 20th that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at
GAIM Regulation 2014
When: February 4th, 2014 Where: The Offices of Ropes & Gray 1211 Avenue of the Americas New York, NY 10036 Join the SEC and SEC
SEC National Exam Program 2014 Exam Priorities
The Securities and Exchange Commission’s National Examination Program (“NEP”) has released 2014 examination priorities which can be found here. Much of what has been announced
