Compliance

We often conduct highly tailored reviews of our investment management clients' practices and procedures. These reviews can be voluntary or mandated by SEC settlements of enforcement actions. Many fund clients also rely on our lawyers for ongoing advice across the spectrum of regulatory and supervisory issues, including record keeping, contracts, trade allocations, personal trading and other complex compliance issues.


A month-by-month recap of the U.S. Securities and Exchange Commission, and Commodity Futures Trading Commission enforcement activities and developments.

       

For more information on our SEC and CFTC Update, visit seccftcupdate.com >>