Compliance Challenges in the Age of Crypto
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September 23, 2022
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
Common Pitfalls in Advisory Billing Practices – A Focus on Fees and Expenses
Common Pitfalls in Advisory Billing Practices – A Focus on Fees and Expenses By Kerry Rider, Managing Partner, Foreside* September 23, 2020 To no one’s surprise, the topics of advisory...
September 23, 2020
How to Improve Your Compliance Program
How to Improve Your Compliance Program By Michelle L. Jacko, Esq., Managing Partner and CEO, Jacko Law Group* September 9, 2020 Compliance is defined by Webster’s dictionary in part as...
September 09, 2020
Seven Mistakes to Avoid in Your Compliance Program
Seven Mistakes to Avoid in Your Compliance Program By Jaqueline M. Hummel, IACCP®, Partner and Managing Director, Hardin Compliance Consulting* April 17, 2020 Jaqueline M. Hummel, Esq., IACCP®Hardin Compliance...
April 17, 2020
New Rules for CFIUS: How Investment Funds Can React and Take Advantage
New Rules for CFIUS: How Investment Funds Can React and Take Advantage By Scott M. Flicker, Robert Silvers, and Randall V. Johnston, Paul Hastings LLP* February 27, 2020 Scott...
February 27, 2020
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