Scott Moss

Compliance Deadlines To Implement Significant Amendments To Regulation S-P Are Fast Approaching: Key Implications For Covered Institutions (Including Brokers And Investment Advisors) And Recommended Considerations

The Importance Of Complying With Private Fund Documents For Affiliate Transactions

The BSA's Expansion & How Investment Advisers Can Leverage Existing AML Compliance Programs In The Cayman Islands To Comply With The BSA

EDGAR Next: The Future Of SEC Filings Is Here–Are You Ready?

Alternative Data Poised For More Growth In The Age Of AI: Alternative Data Enters The Age Of AI

SEC Updates Guidance On The Use Of Gross And Net Performance In Advertisements

SEC Clarifies Accredited Investor Verification For Rule 506(c) Offerings

Alternative Data Poised For More Growth In The Age Of AI

D&O Insurance And The Regulatory Environment In Trump 2.0 Administration (Part II) (Podcast)

D&O Insurance And The Regulatory Environment In Trump 2.0 Administration (Part I) (Podcast)

Federal District Court Vacates The Security And Exchange Commission's Expanded Dealer Rule

When Two Become One: Navigating The Complexities Of Operational Integration

SEC Settles Against Nine Investment Advisers For Marketing Rule Violations, Underscoring The Continued Priority Of Marketing Rule Compliance

CFTC Finalizes Long-Awaited Update To Rule 4.7

Another Wave Of SEC Settlements Underscore The Continued Priority Of Record Retention Communication Compliance

SEC Issues Final Rule To Modify Section 3(c)(1) Investment Company Act Exemption For Certain Private Funds

SEC's Pay-To-Play Crackdown: Settlement Sends Strong Message On Political Contributions

SEC Settles With RIA For MNPI-Related Compliance Failures Related To CLO Business

Material Investment Management Developments And Template Annual Compliance Checklists For Registered Investment Advisers, Exempt Reporting Advisers, Commodity Pool Operators, Commodity Trading Advisors, And Private Fund Managers

Investment Advisers Prepare: The BSA Is Here