Tag: Columns
Form CRS Implementation Considerations
Form CRS Implementation Considerations By Kelli A. Haugh, Managing Director, Foreside * January 22, 2020 Kelli A. Haugh,Managing Director,Foreside On June 5, 2019, the Securities and Exchange Commission (“SEC”) adopted...
February 22, 2020
Tags: Form ADV, Columns, Compliance Corner, Form CRS
SEC Enforcement and COVID-19: How Lessons from the Financial Crisis Apply Today
SEC Enforcement and COVID-19: How Lessons from the Financial Crisis Apply Today By Amy Greer, Jennifer Klass, Peter Chan, A. Valerie Mirko and Kurt Oldenburg, Baker & McKenzie LLP* May 27,...
May 27, 2020
Tags: Columns, Compliance Corner, Coronavirus, COVID-19, SEC Enforcement
An Adviser’s Fiduciary Duty: How the Landscape Has Changed and What to Do About It
An Adviser’s Fiduciary Duty: How the Landscape Has Changed and What to Do About It By Lorna A. Schnase, Attorney at Law* July 10, 2020 Lorna A. Schnase Attorney...
July 10, 2020
Tags: Columns, Compliance Corner, Fiduciary, Form CRS, Reg BI
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
Tags: Columns, Compliance, Compliance Corner
Proxy Voting Not “Set It and Forget It,” Experts Agree
What’s the big deal about proxy voting? To the surprise of many investment advisers, proxy voting has become a hot topic in Washington over the last two years – the...
September 22, 2020
Tags: Columns, Proxy Voting, Takeaways
The Regulatory Impact of Artificial Intelligence on Asset Managers
Artificial intelligence (AI) is having a growing impact on the investment management industry. This article reviews various ways in which AI is impacting asset managers (firms) today, namely: (i) potential...
November 23, 2020
Tags: AI, Artificial Intelligence , CFTC, Columns, Compliance Corner
Common Provisions in Investment Subadvisory Agreements for Registered Funds
By Christopher D. Carlson, Counsel, Seward & Kissel LLP* March 19, 2020 Christopher D. Carlson, Counsel Seward & Kissel LLP A registered investment adviser (“adviser”) that advises an investment company...
March 19, 2020
Tags: Subadviser , Columns, Compliance Corner
New Case Shows Revenue Sharing a Top SEC Target
September 2019
September 01, 2019
Tags: Columns, From the General Counsel, Gail Bernstein, Share Class Disclosure
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