You’ve Established The Tone At The Top – Do You Know The Mood In The Middle?

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most recent SEC announcement by OCIE correlates to the point that whistleblowers have an incentive to earn millions of dollars from your ineffective compliance program. The … Continue reading

Compliance Bulletin 03-14

Recent SEC enforcement actions have increased focus on how well advisers and boards of registered and unregistered investment companies provide compliance oversight. Download the Investment Adviser Bulletin and stay up to date with the regulatory landscape. This month Valerie Lewis examines four examples that touch on best execution practices and disclosures, valuation of securities, and oversight of sub-advisers. Continue reading

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