SEC exam priorities put retail, disclosure in crosshairs

OCIE has published its 2018 priorities letter

Peter Rawlings and Jason Bisnoff 21 February, 2018

Today’s compliance news from around the web

Jason Bisnoff 4 hours ago

Funds will have six more months to comply

Stan Wilson 4 hours ago

Funds will have six more months to comply

Stan Wilson 4 hours ago

Jim Curtis served most recently in the office of the chief counsel at DIM

Jason Bisnoff 4 hours ago

Complying with the rule means advisers may subject fund firms to negative consequences

Stan Wilson 22 February, 2018

Be prepared: Compliance concerns high around cryptocurrency trading

What chief compliance officers need to know about cryptocurrency

Compliance Reporter 29 January, 2018

What are the risk and compliance trends set to shape 2018?

Ten key issues for CCOs to keep in mind

Compliance Reporter 18 January, 2018

Preparing for the new disclosure requirements for fixed income securities

Starting next spring, brokers face new debt and municipal securities disclosures

Compliance Reporter 21 December, 2017

SEC examiners’ retail focus doesn’t mean CCOs of all stripes shouldn’t be on guard

Peter Rawlings 22 February, 2018

Repeating warnings from regulators about off-the-shelf compliance

Peter Rawlings 7 February, 2018

The court curveball

21 December, 2017

Limited budget tango

12 December, 2017

A new tack through the fog

25 October, 2017

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.

  • Seven 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