CCO (Chief Compliance Officer) Content

In June, the SEC issued a request for comment on index providers, model portfolio providers, and pricing services.

The staff of the Securities and Exchange Commission recently issued a Staff Bulletin providing guidance on the application of standards of conduct relevant to broker-dealers and investment advisers in identifying and addressing conflicts of interest.

In June, the SEC issued a request for comment on index providers, model portfolio providers, and pricing services.

Last week, the SEC proposed amendments to Rule 14a-8 (the shareholder proposal rule) by a 3-2 vote.

[34223] July 14, 2022 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure ESG Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Amends its 2020 Proxy Advice Amendments Yesterday, the SEC adopted changes to its 2020...

In April, the International Organization of Securities Commissions (IOSCO) issued a discussion paper on the corporate bond markets, focusing on their experiences during the COVID-19 induced market stress of March 2020.

Last week, the SEC sanctioned an investment adviser and its Chief Compliance Officer (CCO) for failing to adhere to the adviser's compliance policies and procedures relating to the outside business activities (OBA) of an investment adviser representative (IAR) of the firm.