Amy Lynch featured contributor in newly published book for CCOs and compliance staff

Our president and founder, Amy Lynch, provides key insights on SEC exams in the recently released book, “Financial Regulation and Compliance. How to Manage Competing and Overlapping Regulatory Oversight,” by H. David Kotz, former Inspector General of the SEC. Kotz utilizes the expertise of Ms. Lynch in discussing how to prepare for and what to expect…

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ComplianceAlert

New IM Guidance on Personal Trading

The SEC’s Division of Investment Management (IM) released new guidance on how investment advisers should treat advisory personnel’s trusts and third-party discretionary accounts. Up until now, it was commonplace for firms to treat third party discretionary accounts and trusts acting as “blind trusts” as non-reportable under their personal trading policies.This typically meant that a firm…

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