Tag: Compliance Corner
LIBOR Transition: Important Recent Developments
LIBOR Transition: Important Recent Developments By Thomas D’Ambrosio, Partner, Morgan, Lewis & Bockius LLP* April 19, 2021 Thomas D’Ambrosio Morgan, Lewis & Bockius Background. 2021 has been a busy year...
April 19, 2021
Tags: Columns, Compliance Corner, Libor
Cross Trading By Richard D. Marshall, Partner, Katten Muchin Rosenman LLP* March 23, 2021 Richard D. MarshallKatten Muchin Rosenman The regulation of cross trading is a surprisingly complex area of...
March 23, 2021
Tags: Columns, Compliance Corner, Cross Trading
12 Practical Tips for Advisers on Insider Trading Issues
12 Practical Tips for Advisers on Insider Trading Issues By Richard D. Marshall, Partner, Katten Muchin Rosenman LLP* October 20, 2020 Insider trading is a top priority of the SEC’s...
October 20, 2020
Tags: Columns, Compliance Corner, Insider Trading
Not So Fast: Why Compliance Can’t Ignore Digital Assets – Even If the Investment Team Does
Registered investment advisers – even those that do not provide advice about digital assets – are increasingly becoming aware of the need to take digital assets into account when drafting and implementing their codes of ethics.
February 22, 2021
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
How investment advisers use social media for marketing advisory services has rapidly evolved over the last 25 years. What used to be heavily debated – to use social media or...
January 27, 2021
Tags: Advertising Rule, Columns, Compliance Corner, Marketing Rule, Social Media
Time is Almost Up – Has Your Firm Adopted the 2020 GIPS® Standards?
Time is Almost Up – Has Your Firm Adopted the 2020 GIPS® Standards? By Arin Stancil, CFA, CIPM – Guardian Performance Solutions LLC* December 17, 2020 Arin StancilGuardian Performance Solutions...
December 17, 2020
Tags: Columns, Compliance Corner, GIPS
Private Fund Advisers and the Proposed Changes to the Advertising Rule
Private Fund Advisers and the Proposed Changes to the Advertising Rule By Benjamin Haskin, Partner, and Richard Jackson, Counsel, Willkie Farr & Gallagher LLP * January 1, 2020 Benjamin...
January 01, 2020
Tags: Advertising, Advertising Rule, Columns, Compliance Corner, Hedge Funds, Private Equity, Private Funds
How to Maximize Your E&O/D&O Insurance Coverage in the Event of an SEC Investigation
How to Maximize Your E&O/D&O Insurance Coverage in the Event of an SEC Investigation By P. Noble (“Noby”) Powell, Jr. CIC, RA* Asset Management Insurance, A Division of Maury Donnelly...
November 01, 2019
Tags: Compliance Corner, D&O Insurance, E&O Insurance, Insurance
Form CRS Implementation Considerations
Form CRS Implementation Considerations By Kelli A. Haugh, Managing Director, Foreside * January 22, 2020 Kelli A. Haugh,Managing Director,Foreside On June 5, 2019, the Securities and Exchange Commission (“SEC”) adopted...
February 22, 2020
Tags: Form ADV, Columns, Compliance Corner, Form CRS
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