Tag: Compliance Corner
Seven Mistakes to Avoid in Your Compliance Program
As compliance consultants, we see our fair share of missteps. Here are the seven biggest compliance program mistakes investment advisers make and how to avoid them.
April 17, 2020
Tags: Compliance, Compliance Corner
Common Provisions in Investment Subadvisory Agreements for Registered Funds
This article discusses some broad categories of provisions found in fund subadvisory agreements that are not necessarily prescribed by applicable law.
March 19, 2020
Tags: Subadviser , Columns, Compliance Corner
New Rules for CFIUS: How Investment Funds Can React and Take Advantage
The new regulations overhaul how CFIUS will review inbound investments into the U.S. for national security risks, and the changes have significant implications for U.S.-based investment funds.
February 27, 2020
Tags: CFIUS, Compliance Corner
Form CRS Implementation Considerations
This article highlights key points for investment advisers to consider as they develop their firms’ Form CRS and adopt processes for compliance with filing and delivery requirements.
February 22, 2020
Tags: Form ADV, Columns, Compliance Corner, Form CRS
Private Fund Advisers and the Proposed Changes to the Advertising Rule
The proposed amendments, if adopted, would make significant changes to the Advertising Rule affecting private fund managers, including managers of hedge funds and private equity funds.
January 01, 2020
Tags: Advertising, Advertising Rule, Columns, Compliance Corner, Hedge Funds, Private Equity, Private Funds
The California Consumer Privacy Act (CCPA) has created a buzz and stir in the registered investment adviser (RIA) community.
December 01, 2019
Tags: Privacy, Compliance Corner
How to Maximize Your E&O/D&O Insurance Coverage in the Event of an SEC Investigation
This article serves to share a discussion of the evolution of the “Cost of Investigations” coverage grant in an E&O/D&O coverage program and how it has followed the changes in the SEC’s approach to serving as a regulatory authority in the asset management sector.
November 01, 2019
Tags: Compliance Corner, D&O Insurance, E&O Insurance, Insurance
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