Practical Considerations Under the Names Rule for Registered Funds
This article discusses compliance challenges under the new names rule for registered funds under the Investment Company Act of 1940.
May 23, 2024
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Compliance Considerations for Investment Advisers Using ESG Strategies in the US and EU
This article discusses challenges global advisers face in keeping up to date with to ESG-related regulations in the U.S. and EU and in modifying their ESG-related policies and procedures in response.
April 15, 2024
Update on CFTC, NFA and Other Derivatives Developments
Presentation by Josh Sterling, partner, and Locke McMurray, of counsel, of Jones Day to the IAA CFTC Commitee on May 16, 2023.
May 16, 2023
Sample Sub-Adviser Due Diligence Questionnaire
Sample Sub-Adviser Due Diligence Questionnaire (provided at the IAA Investment Adviser Compliance Conference) - Spring 2019
September 24, 2019
Investment Adviser ESG Policies and Compliance Measurement
Investment Adviser ESG Policies and Compliance Measurement, by Gwendolyn A. Williamson, Perkins Coie LLP - 2018
September 19, 2019
What’s in a Name? ETF or Not – Does it Matter?
What’s in a Name? ETF or Not – Does it Matter? by Paul M. Miller and Anthony Tu-Sekine, Seward & Kissel LLP – May 2018
January 22, 2019
Six Months into the Liquidity Risk Management Program Rule
Six Months Into the Liquidity Risk Management Rule (Whitepaper), by Erik Olsen, Director, ACA Compliance Group (May 2017)
July 25, 2017