SEC warns on robo compliance

The Division of Investment has laid out Advisers Act considerations for robo-advisers

Peter Rawlings 14 March, 2017

The election of Donald Trump will not stop investigators at the Department of Labor from going after plan fiduciaries.

Max Viscio 23 March, 2017

NASAA has released is new legislative priorities

Jason Bisnoff 23 March, 2017

NASAA has released is new legislative priorities

Jason Bisnoff 23 March, 2017

Today’s compliance news from around the web

Peter Rawlings 23 March, 2017

The SRO weighed in on the CFTC’s proposed changes to Regulation 1.31

Peter Rawlings 22 March, 2017

What the SEC custody guidance means for CCOs

The Division of Investment Management has issued a custody guidance update

Compliance Reporter 15 March, 2017

Mitigating personal liability risk for CCOs

How should compliance teams handle an environment in which CCOs seem to increasingly be held liable for their firms’ shortcomings?

Compliance Reporter 28 February, 2017

The evolution of the hedge fund chameleon: Lessons for compliance

Adapting hedge fund compliance for a shifting landscape

Compliance Reporter 15 February, 2017

How can firms help C/Os keep up with technological changes?

Peter Rawlings 15 March, 2017

The issue remains, as ever, a top priority for Securities and Exchange Commission regulators

Peter Rawlings 2 March, 2017

Get the message

19 January, 2017

New year, new chair

4 January, 2017

Holiday gifts

22 December, 2016

Inquire About Membership

Fund Intelligence membership gives your firm access to an unique analysis and networking platform providing actionable data, insights and contacts that enable you to raise capital, comply with regulation and benchmark against peers.

  • Eight specialist networks for the latest industry trends
  • Direct access to actionable industry intelligence
  • Benchmarking data for flows, performance and product development
  • Peer group and allocator/advisor networking opportunities
  • Compliance data and tracking tools
  • Access to networking events and educational webinars
  • Access to our team of dedicated analysts and account handlers