Tags: Regulations

April 1, 2022
Kristin Bradbury analyzes the SEC's proposed rule on climate-related disclosures.
January 27, 2022
Jana Steele explains the implications of the Supreme Court's Northwestern ruling for DC plan sponsors.
January 25, 2022
Patrick Wisdom analyzes the new DOL guidance on the role of private equity in DC plans.
April 16, 2021
The Division issued the Risk Alert to 1) communicate its observations from past examinations and 2) address the Division’s areas of focus during upcoming examinations.
June 5, 2018
The often mundane jobs of compliance officers and forensic auditors just got more exciting. Effective Oct. 1, 2017, investment advisers registered with the Securities and Exchange Commission (SEC), with few exceptions, must use a newly expanded Form ADV to report on their businesses. With these changes, this document has become an even more valuable tool for investors and fiduciaries seeking to evaluate their advisers.

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