Now that the holidays are behind us and we look forward to a promising new year, I find myself marveling at the year we had and proud of the results we achieved. We were busy on-boarding many new clients and continuing to manage and update the compliance programs for our existing clients. Meanwhile, the OCIE…

On Monday, November 9th the OCIE’s National Exam Program issued a Risk Alert addressing their observations regarding examinations of investment advisers and investment companies that outsource their chief compliance officer (“CCO”). The key takeaways are that advisers with outsourced CCOs should review their business practices in light of the risks noted in the Risk Alert…

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