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ALTERNATIVE REFERENCE RATES COMMITTEE Buy-Side/Asset Owner Checklist
Alternative Reference Rates Committee (ARRC) - Buy-Side/Asset Owner Checklist for USD LIBOR - Version: January 2020
January 01, 2020
Fund of Funds Arrangements – The SEC’s Proposed Rule
Fund of Funds Arrangements - The SEC's Proposed Rule (outline provided at the IAA Investment Adviser Compliance Conference) - Spring 2019
September 20, 2019
Registered Funds Roundup (PowerPoint presented at the IAA Investment Adviser Compliance Conference) - Spring 2019
September 20, 2019
ESG Investment Process Compliance
ESG Investment Process Compliance (PowerPoint presented at the IAA Investment Adviser Compliance Conference) - Spring 2019
September 19, 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
COMPLIANCE ISSUES IN ESG INVESTING
Compliance Issues in ESG Investing, by Gwendolyn A. Williamson, Perkins Coie LLP - Spring 2019
September 19, 2019
Annual Reviews and the Client Servicing Side of Compliance
Outlines Articles and Memoranda
March 02, 2019