SEC

SEC Launches Share Class Sweep

OCIE is checking that advisers are giving investors the cheapest possible choices.

Peter Rawlings 20 July, 2016
NEWS ROUNDUP PHOTO

Today’s compliance news from around the web.

Peter Rawlings 25 July, 2016
MONEY UNDER LOOKING GLASS

The treatment of assets may cause confusion about which IAs have to comply, the group warned.

Peter Rawlings 25 July, 2016
MONEY UNDER LOOKING GLASS

The treatment of assets may cause confusion about which IAs have to comply, the group warned.

Peter Rawlings 25 July, 2016
network cable with high tech technology color background

The group wants B/Ds to benefit from the potential streamlining of reporting requirements.

Ben Maiden 25 July, 2016
NEWS ROUNDUP PHOTO

Today’s compliance news from around the web.

Compliance Reporter 22 July, 2016
business man holding an umbrella and standing  with cloudburst background

SEC Targets BCPs: What IAs Need To Know

A new SEC rule will require IAs to adopt and implement written business continuity and transition plans

Compliance Reporter 19 July, 2016
AML

Webinar: AML Best Practices For IAs And B/Ds

A presentation offering insights on how to build your AML program.

Compliance Reporter 14 July, 2016
BREXIT 3

U.S. PE Shops Face Brexit Compliance Challenges

The vote poses tricky questions about marketing in Europe.

Peter Rawlings 6 July, 2016

The voters–including many hedge funds managers–made a bad call. Is regulatory relief possible?

Ben Maiden 20 July, 2016

The U.K.’s departure will create years of regulatory and compliance uncertainty for firms.

Ben Maiden 6 July, 2016

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