ComplianceAlert

Chairman Clayton unveils new SEC Agenda

During a speech to the Economic Club of New York on July 12, 2017, SEC Chairman Clayton discussed the new focus areas that the SEC will have during his tenure. As expected, there was a strong emphasis on market structure and capital formation activities that reflect the Chairman’s experience as an M&A lawyer. Highlights of…

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Amy Lynch talks SEC exam prep (IGNITES – Subscription Req’d)

Founder and President Amy Lynch provides comments about the ways management personnel and CCOs of investment advisers and investment companies should prepare in advance of an SEC exam. She also discusses successful strategies for interacting with the Commission staff during an exam. See IGNITES (subscription required), “The SEC Sent an Exam Request Letter. Now What?“

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