Margin Accounts and Implications for Use by Advisory Clients
CCOs of registered investment advisers need to understand the potential pitfalls around this investment strategy to ensure their firms’ compliance programs are ready for the next regulatory examination.
May 24, 2021
The regulation of cross trading is a surprisingly complex area of law. This Compliance Corner by Richard D. Marshall of Katten Muchin Rosenman dives in.
March 23, 2021
Common Provisions in Investment Subadvisory Agreements for Registered Funds
This article discusses some broad categories of provisions found in fund subadvisory agreements that are not necessarily prescribed by applicable law.
March 19, 2020
Private Fund Advisers and the Proposed Changes to the Advertising Rule
The proposed amendments, if adopted, would make significant changes to the Advertising Rule affecting private fund managers, including managers of hedge funds and private equity funds.
January 01, 2020
How to Maximize Your E&O/D&O Insurance Coverage in the Event of an SEC Investigation
This article serves to share a discussion of the evolution of the “Cost of Investigations” coverage grant in an E&O/D&O coverage program and how it has followed the changes in the SEC’s approach to serving as a regulatory authority in the asset management sector.
November 01, 2019
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