We will be sponsoring and exhibiting at Corporate Counsel’s “Hedge Fund General Counsel and Compliance Officer Summit,” Oct. 4-5 in New York City. Highlights of our participation include: Exhibit Booth with display and handouts on our full-range of private fund services and support programs Find out how we continuously achieve successful results assisting our clients…
The SEC may soon be following the lead of the UK’s Financial Conduct Authority (FCA) by reviewing aspects of the investment consultant industry. Founder and President Amy Lynch believes the SEC will start looking more closely at conflicts that persist in the industry, as well as how firms are being compensated. Ms. Lynch also notes…
Founder and President Amy Lynch believes firms should take notice of the recent SEC Risk Alert highlighting the most common Advertising Rule compliance issues found during exams of investment advisers. The SEC found that the most frequent violations concerned advertising misleading and problematic performance results. Ms. Lynch discusses how full comprehension of the Advertising Rule…
The Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert on the most common Advertising Rule compliance issues found during examinations of investment advisers. The Risk Alert also covered those findings specific to the 2016 Touting Initiative exams. The Touting Initiative involved the examination of 70 firms that advertised awards received, high industry…
Planning for disruptions to advisory businesses from hurricanes and other disasters is the subject of an article with extensive comments by Founder and President Amy Lynch. She stresses that firms should be regularly testing their BCP program to remain prepared for a multitude of potential disruptions from natural disasters or other emergencies. There are many…