by James E. Grand | Jan 1, 2016 | In Plain English
YEAR-END COMPLIANCE MATTERS INVESTMENT ADVISERS AND EXEMPT REPORTING ADVISERS AND CERTAIN FUND MANAGERS IARD Renewal Fees. Annual renewal fees for SEC and state-registered investment advisers as well as SEC exempt reporting advisers were due to the IARD on December...
by James E. Grand | Dec 1, 2015 | In Plain English
The staff of the SEC recently stated that a competent Chief Compliance Officer (“CCO”) must develop in-depth knowledge in nine areas. A CCO must: Have first-hand knowledge of applicable laws and regulations including relevant exemptive orders; Develop a deep...
