Compliance Challenges in the Age of Crypto
This article discusses the risks and obligations that investment advisers should carefully consider before choosing to provide investment advice related to crypto assets.
September 23, 2022
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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
To no one’s surprise, the topics of advisory fees, billing practices, and valuation continue to be at the forefront of Securities and Exchange Commission (“SEC”) exams this year. It’s no...
September 23, 2020
How to Improve Your Compliance Program
Compliance is defined by Webster’s dictionary in part as “conformity in fulfilling official requirements.” When an investment adviser registers with the U.S. Securities and Exchange Commission (“SEC”), the registrant first...
September 09, 2020
Seven Mistakes to Avoid in Your Compliance Program
Jaqueline M. Hummel, Esq., IACCP® Hardin Compliance Consulting LLC Chief Compliance Officers face the challenge of running a comprehensive yet efficient compliance program that nimbly adapts to changing regulatory...
April 17, 2020
New Rules for CFIUS: How Investment Funds Can React and Take Advantage
Scott M. Flicker, Partner Paul Hastings LLP Robert Silvers, Partner Paul Hastings LLP Randall V. Johnston, Associate Paul Hastings LLP The Committee of Foreign Investment in the United...
February 27, 2020