Compliance

Registered investment advisors are struggling with ESG disclosures and their policies and procedures, the SEC said in a new risk alert.

There are three key questions participants in SPACs must answer when considering whether the Committee on Foreign Investment in the United States will get involved in a deal, write lawyers from Kirkland & Ellis.

The Foundry Capital Group case checks all the boxes for the SEC's 2021 exam priorities.

Michael Cohn will spend the next nine months under house arrest after he admitted to creeping into the Commission's database.

This hour-long webinar features industry expert discussion on why firms need a robust compliance program, and what penalties they face for non-compliance.

Sharing deficiency letters is one aspect of a bill introduced in 2019 called Investment Adviser Alignment Act that has been backed by major institutional investors.

The sword of Damocles has dropped on the principals behind GPB Capital. Federal prosecutors have indicted, the SEC is suing.

Things an advisor should not do when it comes to advertising.

Harnessing the power of data that many firms already collect for tax purposes can help generate value beyond simple compliance, writes EY's Jen Hwang.

Private funds that ignore the new SEC Rule 2a-5 do so at their own peril, says a Duff & Phelps valuations expert