News & Analysis as of

Investment Adviser › Risk Management › Chief Compliance Officers

SEC Compliance Consultants, Inc. (SEC³)

Write the Best Annual Compliance Review Ever!

SEC Compliance Consultants, Inc. (SEC³) on

Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual report....more

SEC Compliance Consultants, Inc. (SEC³)

Top Ten Reasons to Hire an RIA Compliance Consulting Firm

SEC Compliance Consultants, Inc. (SEC³) on

There are times when it makes sense to hire an expert. Securities regulations are complicated, and failure to comply can be costly, both in terms of fines and damage to reputation. Here are the top reasons registered...more

Dorsey & Whitney LLP

SEC on Compliance

Dorsey & Whitney LLP on

Compliance is a key issue for all firms. Many companies use the U.S. sentencing guidelines as a starting point. In other instances, regulators craft a starting point with rules that direct the creation of programs....more

Perkins Coie

Preparing for the SEC’s Increased Pursuit of Compliance Officers

Perkins Coie on

The SEC’s recent aggressive enforcement posture against chief compliance officers has raised many concerns, including whether the SEC’s actions are actually chilling robust compliance efforts. To protect themselves against...more

Proskauer - Corporate Defense and Disputes

Proposed AML Regulations for Registered Investment Advisers Released by FinCEN

Proskauer - Corporate Defense and Disputes on

On August 25, 2015, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) released proposed rules that would require investment advisers that are registered or required to be registered (RIAs)...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

6 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide