Live Breaking News & Updates on Highlighted Compliance

Stay updated with breaking news from Highlighted compliance. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.

SEC Risk Alert Highlights Registered Fund Compliance, Board Oversight, and Disclosure Obligations | Kilpatrick Townsend & Stockton LLP

On October 26, 2021, the SEC’s Division of Examinations (the “Division”) released a risk alert (the “Risk Alert”) detailing observations from a series of examinations by the Division’s. ....

See Division Of Examinations , Division Of Examinations , Division Of Examinations The , Investment Company , Investment Company Initiatives Oct , Compliance Oversight Of Fund Advertisements , Fund Names Rule , A Fund , Risk Alert , Deficiencies Flagged , Evaluation Practices , Trading Practices , Fund Advertisements , Sales Literature , Investment Company Act , Highlighted Compliance , Registered Investment Company Initiatives , Risk Based Examination Initiatives Focused , Registered Investment Companies ,