Scott L. MacLeod

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SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway

By Scott L. MacLeod on July 25, 2016

Posted in Financial Regulation, Investment Regulation, OCIE, Regulatory Compliance, SEC, Securities

On July 13, 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2016 Share Class Initiative (the Initiative). The Initiative is focused on addressing the perceived risk…
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New SEC Cybersecurity Guidance for Investment Advisers and Fund Managers

By Scott L. MacLeod on May 18, 2015

Posted in SEC

This post summarizes the recent U.S. Securities and Exchange Commission (SEC) Guidance Update related to cybersecurity issues applicable to registered advisers and funds. This update will likely serve as a…
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