Tag Archives: Investment Advisers Act
In Continuation of Longstanding Focus on Cybersecurity, SEC Proposes Significant Amendments to Regulation S-P
SEC Risk Alert Highlights Renewed Focus on Insider Trading and MNPI Policies and Procedures for Fund Managers
Three Key Considerations for Fund Sponsors when Participating in Bankruptcy Proceedings
SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness
Private Equity and Cybersecurity: A Guide to Preparing for and Responding to a Breach

Who Foots the Bill? SEC Cracks Down on Operating Partner Reimbursement Disclosures
When is a Cross Trade a Principal Trade? SEC Brings Enforcement Action Against a Fund Manager That Appears not to Have Understood

SEC clamps down on Custody Rule
SEC Enforcers Continue to Focus on Undisclosed Fees
SEC Releases FY 2019 Enforcement Results: Increases in Investment Adviser Actions and Maintained Focus on Individual Accountability
