Carl Ayers
This guidance from the Division of Investment Management encourages fund compliance personnel to maintain P&Ps about gifts and entertainment. The Investment company Act addresses the ...
Months may pass before you get a look at the Department of Labor’s revised proposal to redefine a fiduciary under ERISA but the battleground is ...
Speaking last month at the SEC Speaks conference in Washington, D.C., SEC Chair Mary Jo White said the agency needs to focus “particular attention to ...
If you’re a compliance officer for a fund adviser, chances are you’re well aware a gifts and entertainment policy should be in your code of ...
Like many firms, the adviser used a VPN-like security system to permit staff to access its computer network remotely. “A lot of people complained about ...
Speaking Jan. 20 at the SEC Speaks conference in Washington, D.C., SEC Chair Mary Jo White said the agency needs to focus “particular attention to ...
Click here to open a Word document shared by a peer. This is an example of a consulting agreement between the adviser and a cybersecurity ...
It’s too early for results from OCIE’s sweep exam of alternative mutual funds conducted last year (IA Watch, Aug. 28, 2014), and it’s not even ...
A common best practice for dealing with the SEC’s whistleblower rule is to offer a hotline for anonymous reporting (IA Watch, June 4, 2012). IA ...