- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2021-09-08T19:51:00
Implementing the SEC’s new “marketing rule” for investment advisers tops the list of concerns among chief compliance officers in the industry, according to new research.
2022-11-04T18:29:00Z By Aaron Nicodemus
The 18-month probationary period for the new Securities and Exchange Commission marketing rule for investment advisers has expired and compliance with the rule is now mandatory.
2022-09-09T19:06:00Z By Adrianne Appel
Nine investment advisers failed to follow Securities and Exchange Commission rules designed to keep clients’ assets safe and/or timely disclose financial updates following audits, the agency announced.
2021-09-28T17:36:00Z By Aaron Nicodemus
The SEC’s new marketing rule allows certain types of advertising, endorsements, and testimonials that were previously prohibited. Investment advisers are “excited” about the new possibilities—but compliance officers must warn them of the risks.
2025-05-27T17:13:00Z By Ian Sherr
The world is rapidly changing. The European Union is stepping up rules and enforcement, while the United Kingdom is charting its own course. And now the United States is taking a third tack, with unclear regulation enforcement under a mercurial Donald Trump’s second term as president underway.
2025-05-27T17:13:00Z By Aaron Nicodemus
An overheated demand for compliance officers in the post-Covid era finally cooled off in 2024, according to Compliance Week’s Inside the Mind of the CCO survey.
2025-05-27T17:13:00Z By Aly McDevitt
At a time when the Trump administration is rewriting many of the rules, the compliance function is being embraced as a strategic partner to the C-suite and board, Compliance Week’s 2024 “Inside the Mind of the CCO” survey shows. The new objective: risk-assess the implications of Trump’s confetti of executive ...
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