Compliance Challenges in the Age of Crypto
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September 23, 2022
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Compliance and Operational Risks Associated with Public Pension Plan Investors
Requirements for public pension plan investments have expanded. Managers must consider compliance challenges before a plan invests and before the first interaction with a plan.
October 20, 2021
SEC Ramping Up Scrutiny of Cybersecurity at Investment Advisers
The SEC continues to ramp up its exam and enforcement focus on cybersecurity, focusing on cyber breach response procedures and protection of client information.
October 10, 2021
Dealing with the New Derivatives Rule: A Guide for Legal and Compliance Professionals
This Compliance Corner article provides an overview of the requirements of Rule 18f-4 and practical considerations related to the design of compliance programs under that rule.
September 09, 2021
Use of Alternative Data by Investment Advisers
The search for “alpha” by investment advisers has led to new ways to capture and utilize data in the investment decision-making process.
July 20, 2021
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
LIBOR Transition: Important Recent Developments
2021 has been a busy year so far for the transition away from LIBOR.
April 19, 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