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HEADS UP: SEC Division of Examinations Identifies Gaps and Signals Need for Main Office Policies and Procedures to be Applied at Branch Office Locations

May 11, 2023

The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers. The Alert recommends firms consider...

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The SEC adopted changes to Form PF impacting large hedge fund advisers and all PE advisers.

May 09, 2023

Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers

The most significant change is the addition of “event reporting” upon the occurrence of...

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Incident Reporting on the SEC’s Radar as Regulator Seeks to Mandate a Federal Breach Notification Standard

Apr 20, 2023

A steady increase in the threat that data breaches pose to individual investors has spurred the Securities and Exchange Commission to revisit the issue of safeguarding customer information.

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Liquidity Risk Spotlight: Increased regulatory scrutiny is our biggest threat

Dec 06, 2022

Inflation and interest rate spikes, the likes of which we haven’t seen in a generation, can cause serious market dislocations and liquidity crunches. Regulators around the world have taken notice. The...

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ESG: As COP27 highlights climate urgency, notions of “sustainability” fracture

Nov 15, 2022

COP27, the UN’s annual climate change conference held this year in Egypt from 6 to 18 November with about 100 heads of state in attendance, can be seen as a microcosm of the challenges and debates that have...

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ESG Strategy: Think Regulation, Data, and Budget

Nov 01, 2022

This blog was original published at Markets Media on October 7, 2022. 

Sustainable investing disclosures in the U.S. are currently governed by general fraud prohibitions in advertising and not by formally...

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Navigating the SEC Marketing Rule: Keyways to Compliance

Oct 27, 2022

The SEC's new Marketing Rule that came into effect last year expanded the definition of advertising. It allows for marketing via new channels and enhances existing disclosure requirements. It will have...

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ESG Update for Investment Firms: The Data Problem and E.U. Response

Oct 04, 2022

I am superior, sir, in many ways. But I would gladly give it up to be human.” -Data

It’s an observation made by the fictional lieutenant commander in the 1987 pilot episode of Star Trek – The Next Generation....

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Charting a Path to SFDR Deadlines: Optimizing ESG and EET data collection, quality and reliability

Sep 30, 2022

The Sustainable Finance Disclosure Regulation (SFDR) is rapidly progressing towards the January 1, 2023 deadline, and the industry is in the process of managing and solving a variety of challenges. Here, we...

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Charting a Path to PRIIPS KID Deadlines: Four Months Left to Make Significant Data, Calculation and Filing Changes

Sep 27, 2022

Conversations with investment firms, management companies, fund administrators and industry attorneys have ramped up this summer as the industry prepares for the European Union’s (EU) new Packaged Retail and...

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