Tag: Compliance Corner
Compliance Challenges in the Age of Crypto
This article discusses the risks and obligations that investment advisers should carefully consider before choosing to provide investment advice related to crypto assets.
September 23, 2022
Tags: Compliance Corner, Compliance Policies, Digital Assets
Compliance and Operational Risks Associated with Public Pension Plan Investors
Requirements for public pension plan investments have expanded. Managers must consider compliance challenges before a plan invests and before the first interaction with a plan.
October 20, 2021
SEC Ramping Up Scrutiny of Cybersecurity at Investment Advisers
The SEC continues to ramp up its exam and enforcement focus on cybersecurity, focusing on cyber breach response procedures and protection of client information.
October 10, 2021
Tags: Columns, Compliance Corner, Cybersecurity, SEC Enforcement
Dealing with the New Derivatives Rule: A Guide for Legal and Compliance Professionals
In October 2020, the U.S. Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 under section 18 of the Investment Company Act of 1940 (the “1940 Act”) to regulate the...
September 09, 2021
Tags: Columns, Compliance Corner, Derivatives
Use of Alternative Data by Investment Advisers
Use of Alternative Data by Investment Advisers By Paul M. Miller and Lancelot A. King, Seward & Kissel LLP* July 20, 2021 The search for “alpha” by investment advisers has...
July 20, 2021
Tags: Alternative Data, Columns, Compliance Corner, Insider Trading, MNPI
The SEC’s Spotlight on ESG – Is Your Firm Ready to Shine?
The SEC’s Spotlight on ESG – Is Your Firm Ready to Shine? By Hope L. Newsome, Managing Partner, Virtus LLP* June 29, 2021 Hope L. NewsomeVirtus LLP The past year...
June 30, 2021
Tags: Columns, Compliance Corner, ESG
Common Pitfalls in Advisory Billing Practices – A Focus on Fees and Expenses
Common Pitfalls in Advisory Billing Practices – A Focus on Fees and Expenses By Kerry Rider, Managing Partner, Foreside* September 23, 2020 To no one’s surprise, the topics of advisory...
September 23, 2020
Margin Accounts and Implications for Use by Advisory Clients 3
Margin Accounts and Implications for Use by Advisory Clients By Bart J. McDonald, Executive Vice President, Renaissance Regulatory Services* May 24, 2021 Potential Risks: Client Complaints or Enforcement Referrals The...
May 26, 2021
Tags: Columns, Compliance Corner, Margin Accounts
Margin Accounts and Implications for Use by Advisory Clients 2
Margin Accounts and Implications for Use by Advisory Clients By Bart J. McDonald, Executive Vice President, Renaissance Regulatory Services* May 24, 2021 Documenting Your Fiduciary Duty – Client Onboarding and...
May 26, 2021
Tags: Columns, Compliance Corner, Margin Accounts
Margin Accounts and Implications for Use by Advisory Clients
Margin Accounts and Implications for Use by Advisory Clients By Bart J. McDonald, Executive Vice President, Renaissance Regulatory Services* May 24, 2021 Bart J. McDonaldRenaissance Regulatory Services The Securities and...
May 24, 2021
Tags: Columns, Compliance Corner, Margin Accounts
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