Tag: Compliance
Business Continuity Planning related to COVID-19 is now the top concern of investment management compliance professionals – edging out Cybersecurity, which had headed their rankings of hot topics for six consecutive years.
July 17, 2020
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
Maximizing the Benefits of Compliance Technology
Compliance technology software has become increasingly sophisticated with fully integrated solutions that can track multiple tasks in different functional areas on a common platform optimizing compliance and risk management programs.
July 10, 2020
Tags: FinTech, Columns, Compliance, Guest Column, Technology
LA PE Fund Adviser Pays $1 Million to Settle MNPI Charges
A Los Angeles-based private equity fund adviser has paid $1 million to settle charges that it failed to sufficiently implement and enforce its policies and procedures for preventing the misuse of material, nonpublic information.
June 05, 2020
Tags: Compliance, MNPI, Private Equity, SEC Enforcement
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
SEC Announces 2020 National Compliance Outreach Seminar on April 21
In-person attendance will be limited to 500 people. The event also will be made available via live and archived audio webcast .
March 11, 2020
Tags: Compliance
Compliance Training: A Marathon Without a Finish Line
As the responsibility to maintain compliance with SEC rules and regulations rests on all associates and supervised persons, providing compliance training to all personnel is critical and contributes to a compliance and business culture where legal, ethical practices are the norm.
February 10, 2020
Tags: Columns, Compliance, Compliance Training, Guest Column
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