Tag: Compliance Corner
New Rules for CFIUS: How Investment Funds Can React and Take Advantage
New Rules for CFIUS: How Investment Funds Can React and Take Advantage By Scott M. Flicker, Robert Silvers, and Randall V. Johnston, Paul Hastings LLP* February 27, 2020 Scott...
February 27, 2020
Tags: CFIUS, Compliance Corner
Seven Mistakes to Avoid in Your Compliance Program
Seven Mistakes to Avoid in Your Compliance Program By Jaqueline M. Hummel, IACCP®, Partner and Managing Director, Hardin Compliance Consulting* April 17, 2020 Jaqueline M. Hummel, Esq., IACCP®Hardin Compliance...
April 17, 2020
Tags: Compliance, Compliance Corner
SEC Enforcement and COVID-19: How Lessons from the Financial Crisis Apply Today
SEC Enforcement and COVID-19: How Lessons from the Financial Crisis Apply Today By Amy Greer, Jennifer Klass, Peter Chan, A. Valerie Mirko and Kurt Oldenburg, Baker & McKenzie LLP* May 27,...
May 27, 2020
Tags: Columns, Compliance Corner, Coronavirus, COVID-19, SEC Enforcement
An Adviser’s Fiduciary Duty: How the Landscape Has Changed and What to Do About It
An Adviser’s Fiduciary Duty: How the Landscape Has Changed and What to Do About It By Lorna A. Schnase, Attorney at Law* July 10, 2020 Lorna A. Schnase Attorney...
July 10, 2020
Tags: Columns, Compliance Corner, Fiduciary, Form CRS, Reg BI
How to Improve Your Compliance Program
How to Improve Your Compliance Program By Michelle L. Jacko, Esq., Managing Partner and CEO, Jacko Law Group* September 9, 2020 Compliance is defined by Webster’s dictionary in part as...
September 09, 2020
Tags: Columns, Compliance, Compliance Corner
The Regulatory Impact of Artificial Intelligence on Asset Managers
The Regulatory Impact of Artificial Intelligence on Asset Managers By Petal P. Walker, Special Counsel, WilmerHale* November 23, 2020 Artificial intelligence (AI) is having a growing impact on the investment management...
November 23, 2020
Tags: AI, Artificial Intelligence , CFTC, Columns, Compliance Corner
Common Provisions in Investment Subadvisory Agreements for Registered Funds
By Christopher D. Carlson, Counsel, Seward & Kissel LLP* March 19, 2020 Christopher D. Carlson, Counsel Seward & Kissel LLP A registered investment adviser (“adviser”) that advises an investment company...
March 19, 2020
Tags: Subadviser , Columns, Compliance Corner
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