The 2016 guidance follows the highly publicized SEC sweep exam conducted during the past several years on the same topic and seeks to address and/or clarify for the industry certain issues that arose during that exam.21 March, 2016
The compliance officer role remains a relatively young one. In the early 2000s, Rule 206(4)-7 of the Investment Advisers Act29 February, 2016
Robo-advisers have garnered significant attention in recent years, in particular for their potential to court Millennials and disrupt the wider28 January, 2016
Fund Intelligence membership gives your firm access to an unique analysis and networking platform providing actionable data, insights and contacts that enable you to raise capital, comply with regulation and benchmark against peers.