January 17, 2017

OCIE Releases Its 2017 Examination Priorities

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January 12, 2017

TIC Form BC Filing Deadline Approaching

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December 16, 2016

Compliance Flash – December 2016

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December 8, 2016

CFTC Annual Affirmations

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December 7, 2016

U.S. Supreme Court Sides with Prosecutors and Partially Overrules Second Circuit Standard That Made It Harder to Prosecute Insider Trading

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November 21, 2016

FDIC Adopts Final Rule on Recordkeeping for Timely Deposit Insurance Determination

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October 21, 2016

SEC Adopts Liquidity Risk Management Program Requirements

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October 13, 2016

SEC Proposes Rule Amendment to Expedite Securities Transaction Settlement Process

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October 5, 2016

Compliance Flash – October 2016

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September 29, 2016

New IRS Regulations Would Require RIC Commodity Subsidiaries To Distribute Income

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September 26, 2016

Two Firms Charged with Compliance Failures in Wrap Fee Programs

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September 26, 2016

Seward & Kissel 2015/2016 Hedge Fund Side Letter Study

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September 24, 2016

Compliance Support Services

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September 7, 2016

SEC Adopts Rules to Enhance Information Reported by Investment Advisers

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September 2, 2016

Investment Adviser Settles Charges for Failing to Disclose a Material Side Letter Agreement in Application for Exemptive Relief

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