SEC Guidance Update on Cybersecurity

In April 2015, the SEC’s Division of Investment Management (“the Division”) issued a Guidance Update on Cybersecurity. The Update did not notify us of any impending rules or requirements, but did provide suggestions “that funds and advisers may wish to … Read More ›

SEC Announces Compliance Outreach Program Seminars

The Securities and Exchange Commission announced the schedule for regional Compliance Outreach Program seminars for Investment Adviser and Investment Company Senior Officers. The seminars are sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and … Read More ›