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Research

Explore our latest thinking on the issues that matter most in risk, compliance and regulation.

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Insource / Outsource Tradeoff for Marketing Compliance Reviews

For many investment managers, outsourcing marketing compliance can bring cost savings, predictability and transparency.

Analytical Note

Paul Atkins’ Senate Confirmation Hearing Provides Window into Priorities

Atkins testified before the Senate Banking Committee as part of his nomination for SEC Chairman.

Analytical Note

Marketing Rule FAQ Update Clarifies Key Issues but Imposes Requirements

Marketing Rule FAQ Update Clarifies Key Issues but Imposes Requirements

Analytical Note

New No-Action Letter Resolves Key Uncertainty Around 506(c) Offerings

SEC issues a new No-Action letter resolving key uncertainty around 506(c) offerings.

Analytical Note

First Private Fund Case of the New Administration Demonstrates Importance of Expenses and Testing

SEC reached a settlement related to fiduciary duty violations, misappropriation of funds, custody rule breaches, and compliance deficiencies.

Analytical Note

Recent Investment Advisers Act Case Provides Window into New SEC Priorities

This case is particularly significant as it marks the first IA Act enforcement action under the new administration.

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Seven Ways to Mitigate Model Risk for Non-Quantitative CCOs

Tips for non-quantitative CCOs to mitigate model risk.

Analytical Note

SEC Charged Firm with Model Control Failure

This marks the first major SEC enforcement action related to model errors in a decade.

Analytical Note

SEC Expense Case Highlights Perennial Issue in Private Equity

Many managers mistakenly believe they can charge expenses to funds unless their LPAs specify otherwise.

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