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Join the Mutual Fund Directors Forum in Washington DC March 7-8 for the Fund Governance and Regulatory Insights Conference
The conference will allow fund directors, CCOs, and industry colleagues to engage with key topics and …
- Webinar Archive - Fund Compliance: CCO vs. Trustee Perspective
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Fund Compliance-CCO vs Trustee Perspectives
PowerPoint Presentation How do Trustees get the most out of their Interaction with the CCO? …
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SEC Charges Trustees, Adviser with Liquidity Rule Violations
The Securities and Exchange Commission announced charges against Pinnacle Advisors LLC for “aiding and …
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Event of Interest: Dechert to Host Compliance and Regulatory Priorities Webinar
The webinar will focus on updates for compliance and legal professionals, but plans to cover recent and …
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Event of Interest: Dechert to Host Investment Management Symposia
Dechert plans to host two “California Investment Management Symposia” events covering developments in …
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SEC EXAMS Division Releases Risk Alert on MNPI
The SEC staff found evidence of advisers that “did not have policies and procedures in place to assign …
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Finra Reminds Members of the Scope of Rule Pertaining to Potential CCO Liability
The notice regarding CCO liability follows efforts to address concerns regarding increased enforcement …
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Risk Alert Identifies Deficiencies in Compliance Programs, Board Practices
The staff also looked at fund governance practices, particularly as they relate to the deliberative processes …
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NY Bar Proposes Framework for SEC Actions Targeting CCOs
Among several recommendations, the city bar urges regulators to first consider whether charging the CCO …
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Compliance Role, CCO Liability in Spotlight
Growing regulations and digital transformation are among the challenges facing the financial services …