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
In October 2020, the U.S. Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 under section 18 of the Investment Company Act of 1940 (the “1940 Act”) to regulate the...
September 09, 2021
Use of Alternative Data by Investment Advisers
Use of Alternative Data by Investment Advisers By Paul M. Miller and Lancelot A. King, Seward & Kissel LLP* July 20, 2021 The search for “alpha” by investment advisers has...
July 20, 2021
Margin Accounts and Implications for Use by Advisory Clients
Margin Accounts and Implications for Use by Advisory Clients By Bart J. McDonald, Executive Vice President, Renaissance Regulatory Services* May 24, 2021 Bart J. McDonaldRenaissance Regulatory Services The Securities and...
May 24, 2021
LIBOR Transition: Important Recent Developments
LIBOR Transition: Important Recent Developments By Thomas D’Ambrosio, Partner, Morgan, Lewis & Bockius LLP* April 19, 2021 Thomas D’Ambrosio Morgan, Lewis & Bockius Background. 2021 has been a busy year...
April 19, 2021
Cross Trading By Richard D. Marshall, Partner, Katten Muchin Rosenman LLP* March 23, 2021 Richard D. MarshallKatten Muchin Rosenman The regulation of cross trading is a surprisingly complex area of...
March 23, 2021