cco

    compliance

    time 3 minute read

    OCIE Director Stresses Importance of CCO Empowerment, Seniority and Authority

    In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...

    sec

    time 2 minute read

    First major guidance on valuation to fund boards since 1970

    On December 3, 2020, the Securities and Exchange Commission announced the approval of new Rules...
    SEC Risk Alert

    compliance

    time 3 minute read

    SEC Warns RIAs About Compliance Rule Deficiencies & Weaknesses

    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
    SEC Risk Alert

    compliance

    time 5 minute read

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...

    sec

    time 2 minute read

    Mock Examinations Can Help You Find a Way Out Of Your Compliance Problems

    In an episode of the West Wing television series from the year 2000, Leo McGarry, the President’s...
    mock exams

    sec

    time 3 minute read

    Mock Examinations Can Make Real Exams Less Scary

    If there’s anything scarier at Halloween than the classic 80’s horror films featuring Jason...
    Work From Home

    compliance

    time 3 minute read

    Coronavirus Pandemic Creates New Compliance Challenges

    According to an Investment News article written by Mark Schoeff Jr. and posted on March 11, 2020,...
    SEC-social-1

    sec

    time 4 minute read

    SEC Moves Forward with New Advertising and Solicitation Rules

    On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitations...
    What You Need to Know On Board Reporting

    CCO

    time 1 minute read

    What You Need To Know - On Board Reporting

    Every mutual fund, whether it is a proprietary Registered Investment Company (“RIC”) or part of a...

    OCIE Director Stresses Importance of CCO Empowerment, Seniority and Authority

    Les Abromovitz | Dec 15, 2020 7:15:00 AM

    First major guidance on valuation to fund boards since 1970

    Chuck Todd | Dec 10, 2020 3:55:46 PM

    SEC Warns RIAs About Compliance Rule Deficiencies & Weaknesses

    Les Abromovitz | Nov 24, 2020 6:45:00 AM

    Multi-Branch Initiative Offers Advice to RIAs on Compliance and Supervision

    Les Abromovitz | Nov 18, 2020 6:15:00 AM

    Mock Examinations Can Help You Find a Way Out Of Your Compliance Problems

    Les Abromovitz | Nov 17, 2020 7:45:00 AM

    Mock Examinations Can Make Real Exams Less Scary

    Les Abromovitz | Oct 27, 2020 10:15:00 AM

    Coronavirus Pandemic Creates New Compliance Challenges

    Les Abromovitz | Mar 18, 2020 11:27:39 AM

    SEC Moves Forward with New Advertising and Solicitation Rules

    Les Abromovitz | Dec 30, 2019 10:02:03 AM

    What You Need To Know - On Board Reporting

    Foreside | Sep 11, 2019 2:44:19 PM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.