Compliance Corner Archives

Are Hedge Clauses Valid?

Firms consider the use of hedge clauses in advisory agreements, which are commonly used contractual provisions limiting an adviser’s liability to its clients.

February 20, 2025

Tags: Advisory Contracts, Hedge Clauses

AML Compliance Ahead: Navigating the Upcoming FinCEN Requirements

Advisers should prepare for a new AML rule under FinCEN regulations.

February 06, 2025

Tags: AML

Privacy and Cybersecurity: How Advisers Must Protect Their Clients’ Most Valuable Asset

Investment advisers must keep up with evolving federal, state, and cross-border regulatory obligations with respect to client data, privacy, and cybersecurity.

October 18, 2024

Tags: Privacy, Cybersecurity, Data Security

What Investment Advisers Need to Know About the SEC’s Changes to Schedules 13D and 13G

The SEC’s changes to Schedules 13D and 13G require quicker filings.

September 30, 2024

Tags: Beneficial Ownership

Lessons from the SEC Win in the “Shadow” Insider Trading Case

In spite of claims from SEC officials that its recent win in the Panuwat case was “nothing novel,” the victory represents a sweeping change in the scope of insider trading liability.

August 22, 2024

Bad Facts Create Good Law on Negligence Standard for Investment Advisers

Recent court decision SEC v. Rashid clarifies the negligence standard applicable to the anti-fraud provisions of the Advisers Act.

July 18, 2024

Tags: Fiduciary, SEC Enforcement

The New DOL Fiduciary Rule: What Advisers Need to Know

This article discusses the impact of the DOL’s 2024 final fiduciary rule and the amendments to Prohibited Transaction Exemption (PTE) 2020-02, issued at the same time as the rule, on registered investment advisers.

June 05, 2024

Tags: DOL, ERISA

Practical Considerations Under the Names Rule for Registered Funds

This article discusses compliance challenges under the new names rule for registered funds under the Investment Company Act of 1940.

May 23, 2024

Tags: ESG, Registered Funds

Off-Channel Communications: Confronting Compliance Challenges

This article outlines the compliance challenges associated with off-channel communications and discusses key considerations for complying with recordkeeping, supervisory and other compliance obligations.

May 09, 2024

Tags: Books & Records; Compliance Programs

Compliance Considerations for Investment Advisers Using ESG Strategies in the US and EU

This article discusses challenges global advisers face in keeping up to date with to ESG-related regulations in the U.S. and EU and in modifying their ESG-related policies and procedures in response.

April 15, 2024

Tags: ESG

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