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All News

2-17-2010
2-2-2010
2-1-2010
1-13-2010
1-4-2010
12-31-2009
12-30-2009
  • Letters from SEC’s Chicago Regional Office Informing Advisers They are Being Considered for an Exam
12-14-2009
12-11-2009
12-1-2009
11-20-2009
11-16-2009
11-13-2009
11-2-2009
Perspective
Nov. 2009
10-30-2009
10-14-2009
10-1-2009
  • SEC Issues No-Action Letters to Omgeo
  • Trade Confirmation Recordkeeping Relief for Advisers
9-18-2009
9-8-2009
  • Pay-to-Play Practices in the Management of Public Pension Plans
Perspective
Jul. 2009
  • Approved Amendments to FINRA Forms U4 and U5
  • Proposed Amendments to the Custody Rule
  • Sample SEC Exam Request Language – Custody Documents
  • Highlights from the Regulators’ Panel Discussion at NSCP’s Chicago Meeting
Perspective
Mar. 2009
  • Custody and Brokerage Statements
  • Recent SEC Initiatives
Perspective
Dec. 2008
  • SEC Hosts Fourth National Seminar of CCOutreach program
    • SEC Staff Comments
    • SEC Current Areas of Focus
    • SEC Examinations and Enforcement
Perspective
Aug. 2008
  • NSCP Midwest Regional Meeting
    • SEC Staff Comments
    • Risk Management
    • Pilot Program for Exams of Dually-Registered Broker-Dealers and Investment Advisers
    • New Firm Examinations
    • Valuation Best Practices
    • Insider Trading
    • Hedge Funds and Insider Trading Information
  • IA Act Summary for Newly-Registered Investment Advisers
  • Proposed Changes to Regulation S-P: Privacy Rule
  • Proposed Changes to Form ADV Part 2
  • ICI Mutual Funds Conference and the IA Compliance Best Practices Summit
    • Key Points by SEC Staff:
      • Lori Richards, Director of OCIE:
        • New Document Request Form
        • CCOutreach Regional Seminars
        • Sweep Examinations
        • Examination Focus
        • FOIA Protection
        • Top 10 Compliance Issues
      • Gene Gohlke, Associate Director of OCIE:
        • Deficiency Letter Template
        • Service Provider Oversight
      • David Blass, Assistant Director of Division of Investment Management:
        • Form ADV Part II Proposed Revisions
      • Buddy Donahue, Director of Division of Investment Management:
        • 12b-1 Revisions
        • Prospectus Simplification
        • Fair Valuation
  • SEC Proposing Changes to Form ADV Part II
Legislative News

12-11-2009
Perspectives

Our Perspective news bulletins are intended to bring industry focused news in a succinct and timely manner to our Perspective subscribers. Our research team analyzes and summarizes key adviser and fund regulatory initiatives and news events for our Perspective subscribers to assist in staying on top of the ever-changing regulatory landscape. To subscribe to our Perspective or to obtain more information about how we help investment advisers and funds with compliance and operations matters, please contact us.

12-30-2009
  • Letters from SEC’s Chicago Regional Office Informing Advisers They are Being Considered for an Exam
Perspective
Nov. 2009
  • SEC Issues No-Action Letters to Omgeo
  • Trade Confirmation Recordkeeping Relief for Advisers
  • Pay-to-Play Practices in the Management of Public Pension Plans
Perspective
Jul. 2009
  • Approved Amendments to FINRA Forms U4 and U5
  • Proposed Amendments to the Custody Rule
  • Sample SEC Exam Request Language – Custody Documents
  • Highlights from the Regulators’ Panel Discussion at NSCP’s Chicago Meeting
Perspective
Mar. 2009
  • Custody and Brokerage Statements
  • Recent SEC Initiatives
Perspective
Dec. 2008
  • SEC Hosts Fourth National Seminar of CCOutreach program
    • SEC Staff Comments
    • SEC Current Areas of Focus
    • SEC Examinations and Enforcement
Perspective
Aug. 2008
  • NSCP Midwest Regional Meeting
    • SEC Staff Comments
    • Risk Management
    • Pilot Program for Exams of Dually-Registered Broker-Dealers and Investment Advisers
    • New Firm Examinations
    • Valuation Best Practices
    • Insider Trading
    • Hedge Funds and Insider Trading Information
  • IA Act Summary for Newly-Registered Investment Advisers
  • Proposed Changes to Regulation S-P: Privacy Rule
  • Proposed Changes to Form ADV Part 2
  • ICI Mutual Funds Conference and the IA Compliance Best Practices Summit
    • Key Points by SEC Staff:
      • Lori Richards, Director of OCIE:
        • New Document Request Form
        • CCOutreach Regional Seminars
        • Sweep Examinations
        • Examination Focus
        • FOIA Protection
        • Top 10 Compliance Issues
      • Gene Gohlke, Associate Director of OCIE:
        • Deficiency Letter Template
        • Service Provider Oversight
      • David Blass, Assistant Director of Division of Investment Management:
        • Form ADV Part II Proposed Revisions
      • Buddy Donahue, Director of Division of Investment Management:
        • 12b-1 Revisions
        • Prospectus Simplification
        • Fair Valuation
  • SEC Proposing Changes to Form ADV Part II

 

 

 

 

 

 

 

  

 
 
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