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Asset Management Deadlines Disclosure Requirements

Latham & Watkins LLP

FCA Pushes Back Deadline for SDR Naming and Marketing Rules

Latham & Watkins LLP on

The regulator is providing temporary flexibility in light of concerns that asset managers need extra time to prepare. On 9 September 2024, the FCA published a statement on its naming and marketing rules under the...more

SEC Compliance Consultants, Inc. (SEC³)

Top Tips for Updating Your 2024 Compliance Program

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more

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