The regulation of cross trading is a surprisingly complex area of law. This Compliance Corner by Richard D. Marshall of Katten Muchin Rosenman dives in.
March 23, 2021
Tags: Columns, Compliance Corner, Cross Trading
Not So Fast: Why Compliance Can’t Ignore Digital Assets – Even If the Investment Team Does
Registered investment advisers – even those that do not provide advice about digital assets – are increasingly becoming aware of the need to take digital assets into account when drafting and implementing their codes of ethics.
February 22, 2021
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.
January 27, 2021
Tags: Advertising Rule, Columns, Compliance Corner, Marketing Rule, Social Media
Time is Almost Up – Has Your Firm Adopted the 2020 GIPS® Standards?
Firms need to fully assess all of the changes to ensure they are able to confidently and accurately continue to claim compliance.
December 17, 2020
Tags: Columns, Compliance Corner, GIPS
The Regulatory Impact of Artificial Intelligence on Asset Managers
AI is already having an impact on the investment management industry – an impact that may continue to grow.
November 23, 2020
Tags: AI, Artificial Intelligence , CFTC, Columns, Compliance Corner
12 Practical Tips for Advisers on Insider Trading Issues
Insider trading is a top priority of the SEC’s inspection and enforcement programs. Here's what advisory firms should know.
October 20, 2020
Tags: Columns, Compliance Corner, Insider Trading
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 SEC exams this year.
September 23, 2020
How to Improve Your Compliance Program
In this article, Michelle Jacko explores ways to improve your Compliance Program regardless of work environment, be it onsite or remote.
September 09, 2020
Tags: Columns, Compliance, Compliance Corner
An Adviser’s Fiduciary Duty: How the Landscape Has Changed and What to Do About It
An adviser’s fiduciary duty might not look much different today than it did a year ago, viewed strictly from the standpoint of the obligations owed. After all, advisers must still meet fundamental duties of loyalty and care.
July 10, 2020
Tags: Columns, Compliance Corner, Fiduciary, Form CRS, Reg BI
SEC Enforcement and COVID-19: How Lessons from the Financial Crisis Apply Today
Based on public statements, it is clear that the SEC Enforcement Staff is already thinking ahead to the types of enforcement investigations and actions that may follow the COVID-19 crisis.
May 27, 2020
Tags: Columns, Compliance Corner, Coronavirus, COVID-19, SEC Enforcement