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1 minute read
With $245 billion1 in record flows for U.S.-listed ETFs in Q1 2021, asset managers are looking for...
2 minute read
Why is Form PF important?
2 minute read
Bernie Madoff was arrested on December 11, 2008. Many victims were permanently harmed and suffered...
5 minute read
On April 9, 2021, the Securities and Exchange Commission’s (“SEC”) Division of Examinations[1]...
1 minute read
In December 2020, the Commodity Futures Trading Commission’s (“CFTC’s”) Form CPO-PQR was amended to...
4 minute read
On March 3, 2021, the SEC’s Division of Examinations (“Division”) announced its 2021 examination...
5 minute read
On February 26, the SEC’s Division of Examinations (the “Division,” formerly known as the Office of...
1 minute read
New and improved format streamlines guidance for compliance professionals
6 minute read
Overview The final rule issued by the Department of Labor (“DOL”) prescribing the obligations of...