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On Oct. 26, 2021, the Securities and Exchange Commission (SEC) Division of Examinations issued a Risk Alert in which it identified observations from examinations under its registered investment company initiative, first announced in 2018. The Risk Alert summarized examination conclusions from funds in six categories, although the staff noted that its observations “can assist all funds in assessing compliance risks.”

Continue reading the full GT Alert.

Tags: compliance, ETF, exchange-traded funds, GT Insight, investment adviser, SEC
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Photo of Arthur Don Arthur Don

Arthur Don is the Co-Chair of the Investment Management Group. He has more than 40 years of experience representing mutual funds, public investment companies, fund independent directors, investment advisers, private investment funds, private equity funds, real estate funds, broker-dealers and public companies in

…

Arthur Don is the Co-Chair of the Investment Management Group. He has more than 40 years of experience representing mutual funds, public investment companies, fund independent directors, investment advisers, private investment funds, private equity funds, real estate funds, broker-dealers and public companies in a variety of sophisticated securities transactions. His experience includes various aspects of investment company practice, from organizing new funds through acquisitions and mergers of funds. Arthur has represented issuers and underwriters in numerous public offerings. He also frequently advises independent directors on fiduciary duties, and advises clients on compliance policy issues.

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Photo of Douglas W. Hathaway Douglas W. Hathaway

Douglas W. Hathaway is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Fund Formation and Investment Management Groups. He regularly counsels private equity and hedge fund sponsors in connection with the formation, structuring, capital raising…

Douglas W. Hathaway is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Fund Formation and Investment Management Groups. He regularly counsels private equity and hedge fund sponsors in connection with the formation, structuring, capital raising activities, ongoing operations, and regulatory compliance of their funds and other alternative investment vehicles. He has represented established and emerging investment managers across an array of domestic and international strategies, including buyout equity, distressed debt, fund of funds, and alternative investment strategies. In addition, Douglas works with a number of registered funds on a number of issues including compliance, filings, and work with their independent boards.

Douglas also advises a range of investment advisers on various compliance issues.

Prior to joining the firm Douglas served in the United States Army and worked at the Federal Bureau of Investigation. During law school, he interned at the Securities and Exchange Commission’s Division of Enforcement.

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