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Best of the Web – January 2017


“The pessimist complains about the wind; the optimist expects it to change; the realist adjusts the sails.” (William Arthur Ward)


Welcome to the January 2017 BOTW.  We are still waiting for the new Administration to impanel the new SEC.  Regardless, the regulatory world keeps turning.  Drinker offers some excellent advice on how to respond to an SEC exam.  Groom looks into its crystal ball for retirement and health policy.  Dechert offers a comprehensive compliance outline for advisers.


When SEC Knocks: 8 Immediate Actions for Every Company (Drinker Biddle)

View from Groom: Post-Election Outlook for Retirement and Health Policy (Groom Law Group)

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds (Dechert)

SEC Staff Addresses Mutual Fund Fee Structures in Response to DOL’s Fiduciary Rule (K&L Gates)

Trading and Markets Enforcement Report (Morgan Lewis)

CFTC’s Proposed Algorithmic Trading Rules and Potential Impact on CPOs and CTAs (Cordium)

RIA Compliance Calendar – Filing Deadlines 2017 (Focus One)

What’s New With Regulation S-X? A Look at the SEC’s Recent Amendments (BBD)

The New UK Corporate Offence of ‘Failure to Prevent the Facilitation of Tax Evasion’: Implications for Fund Managers and Investors (Skadden)

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