Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.

February 14, 2022

Keywords: Columns, Compliance, Compliance Policies, Disclosure, ESG, Gary Gensler, Names Rule

Categories & Topics: Compliance Programs, ESG

Adviser Fined for Custody Rule Violations for Facilitating Loans Between Clients

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October 07, 2021

Keywords: Compliance Policies, Conflicts of Interest, Custody, SEC Enforcement

Categories & Topics: Compliance, Conflicts, Custody, Enforcement

SEC Sues Adviser for Violation of Principal Trading Rules

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September 22, 2021

Keywords: Compliance Policies, Trading

Categories & Topics: Brokerage & Trading, Business Ops/HR, Compliance, Compliance Programs

New Risk Alerts Focus on Wrap Fee Programs, Principal and Cross Trades

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July 22, 2021

Keywords: Compliance Policies, Conflicts of Interest, Cross Trading, Disclosure, SEC Examinations, Wrap Fees

Categories & Topics: Brokerage & Trading, Business Ops/HR, Compliance, Conflicts, Examinations, Wrap Fee

Dual-Registrant Fined $8 Million for Insufficient Compliance Policies Related to Volatility-Linked ETP

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July 20, 2021

Keywords: Compliance Policies, SEC Enforcement

Categories & Topics: Compliance, Compliance Programs

Adviser to Pay $97 Million in Connection with Rollover Conflicts

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July 13, 2021

Keywords: Compliance Policies, Conflicts of Interest, Disclosure, SEC Enforcement

Categories & Topics: Compliance, Conflicts, Enforcement

Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges

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