Tag: Columns
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.[1] Many advisers believe that incorporating alternative data, which...
July 20, 2021
Tags: Alternative Data, Columns, Compliance Corner, Insider Trading, MNPI
The SEC’s Spotlight on ESG – Is Your Firm Ready to Shine?
The SEC’s Spotlight on ESG – Is Your Firm Ready to Shine? By Hope L. Newsome, Managing Partner, Virtus LLP* June 29, 2021 Hope L. NewsomeVirtus LLP The past year...
June 30, 2021
Tags: Columns, Compliance Corner, ESG
Margin Accounts and Implications for Use by Advisory Clients 3
Margin Accounts and Implications for Use by Advisory Clients By Bart J. McDonald, Executive Vice President, Renaissance Regulatory Services* May 24, 2021 Page 1 | Page 2
May 26, 2021
Tags: Columns, Compliance Corner, Margin Accounts
Margin Accounts and Implications for Use by Advisory Clients 2
Margin Accounts and Implications for Use by Advisory Clients By Bart J. McDonald, Executive Vice President, Renaissance Regulatory Services* May 24, 2021 Page 1 | Page 3
May 26, 2021
Tags: Columns, Compliance Corner, Margin Accounts
Margin Accounts and Implications for Use by Advisory Clients
Bart J. McDonald Renaissance Regulatory Services The Securities and Exchange Commission’s (“SEC’s”) current exam focus includes retail client accounts, leverage, fees, and conflicts of interest. The use (or misuse) of...
May 24, 2021
Tags: Columns, Compliance Corner, Margin Accounts
LIBOR Transition: Important Recent Developments
Thomas D’Ambrosio Morgan, Lewis & Bockius Background. 2021 has been a busy year so far for the transition away from LIBOR. On March 5, 2021 the United Kingdom’s Financial Conduct...
April 19, 2021
Tags: Columns, Compliance Corner, Libor
Richard D. Marshall Katten Muchin Rosenman The regulation of cross trading is a surprisingly complex area of law. This is because the term itself is defined differently in different statutes...
March 23, 2021
Tags: Columns, Compliance Corner, Cross Trading
12 Practical Tips for Advisers on Insider Trading Issues
Insider trading is a top priority of the SEC’s inspection and enforcement programs. In light of this, advisory firms should note the following: Investment advisers are required to adopt policies...
October 20, 2020
Tags: Columns, Compliance Corner, Insider Trading
Examining Best Execution and Trading in the Current Landscape
February 2021
February 10, 2021
Tags: Best Execution, Columns, Guest Column, Trading
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
How investment advisers use social media for marketing advisory services has rapidly evolved over the last 25 years. What used to be heavily debated – to use social media or...
January 27, 2021
Tags: Advertising Rule, Columns, Compliance Corner, Marketing Rule, Social Media
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