SEC Marketing Rule Continues to be Top Compliance Concern, Survey Shows
For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.
July 14, 2023
SEC Compliance Outreach Program Scheduled for November 15
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September 22, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
May 31, 2022
Aligning ESG Investing and Compliance
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March 24, 2022
Considerations When Drafting an ESG 80% Policy
Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.
February 14, 2022
Adviser, Principal Fined for Fund Management, Proxy, Valuation Issues
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December 10, 2021
Audit Directors Working Group Now Audit & Risk Management Working Group
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November 01, 2021
SEC Action on Complex Products Highlights Need for Training and Supervision
The SEC has settled charges against a Missouri-based adviser over unsuitable investment recommendations of complex financial products.
September 22, 2021
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