Tag: Compliance Corner
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
Common Provisions in Investment Subadvisory Agreements for Registered Funds
Christopher D. Carlson, Counsel Seward & Kissel LLP A registered investment adviser (“adviser”) that advises an investment company (“fund”) registered under the Investment Company Act of 1940, as amended...
March 19, 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
Form CRS Implementation Considerations
Kelli A. Haugh, Managing Director, Foreside On June 5, 2019, the Securities and Exchange Commission (“SEC”) adopted new rules requiring investment advisers to prepare and deliver a client relationship summary...
February 22, 2020
Private Fund Advisers and the Proposed Changes to the Advertising Rule
Benjamin Haskin, Partner, Willkie Richard Jackson, Counsel, Willkie The Securities and Exchange Commission (the “SEC”) has proposed amendments to Rule 206(4)-1 (the “Advertising Rule”) under the Investment Advisers Act...
January 01, 2020
How to Maximize Your E&O/D&O Insurance Coverage in the Event of an SEC Investigation
The asset management sector has seen significant changes over the last 15 years in how the E&O/D&O (Errors and Omissions/Directors and Officers) coverages respond to an SEC investigation. Most...
November 01, 2019
Tags: Compliance Corner, D&O Insurance, E&O Insurance, Insurance
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