Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s compliance ...
Should your firm do business in Germany, know that the regulator there, BaFIN, is fining U.S.-based advisers that fail to file required disclosures on time. ...
Late last year, the NFA sought to help CPOs design their compliance programs (CPO/CTA Watch, Dec. 13, 2018). The SRO’s interpretative notice for CPO internal ...
Three years after Brendan Ross registered his advisory firm, Direct Lending Investments ($866M in AUM) in Glendale, Calif., the 100% owner and CEO abruptly resigned ...
An unanimous vote greeted a new interim final rule from the CFTC last week that aims to bring “regulatory certainty” to an international swaps market ...
As the investment adviser to both the seller and buyer of a commercial real estate asset, Tamlico had a clear conflict. When the New York-based ...
Back in December, we reported that sources were stating that the SEC was pivoting a bit from its focus on 12b-1 fees and share class ...
It’s not everyday an SRO objects to a rule proposal put forth by its regulator but the NFA is unhappy with the CFTC’s recent proposal ...
OCIE chalked up more than 2,000 IA exams in FY 2018, visiting 17% of all firms. These numbers may be out of reach in FY ...
A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment custody ...