Jeanne Waters

Eversheds Sutherland (US) LLP

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SEC’s focus on compliance: What boards should know

Rule 38a-1 under the Investment Company Act of 1940 (the 1940 Act) requires funds to review their compliance programs, as well of those of their service providers, including their investment advisers (advisers), annually....more

12/29/2021 / Chief Compliance Officers , Compliance , Disclosure Requirements , Investment Adviser , Investment Advisers Act of 1940 , Investment Funds , Policies and Procedures , Risk Alert , SEC Examination Priorities , Securities and Exchange Commission (SEC)

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Jeanne Waters

Eversheds Sutherland (US) LLP

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Latest Posts › Compliance

SEC’s focus on compliance: What boards should know

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