Ellen oversees the firm’s Compliance Administration and Performance Services practice areas.
On December 20th, a private fund adviser, Global Infrastructure Management, LLC, was charged by the SEC for fee and expense disclosure failures.
SEC Chair Gensler spoke at Northwestern Pritzker School of Law’s Annual Securities Regulation Institute yesterday, where he focused on the Commission’s cybersecurity initiatives.
During recent regulatory exams, the SEC detected several issues with investment advisers’ fee calculations. Contact us for more info.
Climate and environmental, social, and governance topics continue to gain prevalence in capital markets, especially with evolving regulatory expectations.
SEC is expanding efforts to provide advisers with guidance on compliance considerations for the ESG marketplace. Learn how we can help.
Recently, the U.S. SEC released a Risk Alert outlining specific compliance concerns associated with environmental, social, and governance (ESG) investing.
Firm Principal Fined by the SEC for Supervisory Violations WHAT HAPPENED? Recently, the U.S. Securities […]
Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.
OCIE released a Risk Alert outlining common compliance concerns among registered investment advisers. The list was compiled based on recent compliance examinations of advisers.
The OCIE released a new Risk Alert outlining recent observations from examinations of SEC-registered investment advisers.
