During the holidays it is customary to give and receive gifts, enjoy company and client-hosted parties, and attend holiday events. Titan Regulation & Advisory, a Waystone Group Company, encourages all investment advisers to be mindful of their gift and entertainment policies and procedures during the holidays.
The in-house general counsel, more often than not at young fast-growing companies, is unaware of the company’s insurance policy requirements (e.g.: timely notice, consent to counsel and rates), let alone what is even covered under the insurance policies.
Businesses of all sizes should prioritize developing and implementing a risk management program to protect themselves, directors, officers, and subsidiaries.
Hiring great employees gives companies an edge over their competition but can also be challenging when candidates outnumber the jobs available. The challenging part of hiring equates to time filtering candidates, interviewing, and hiring decisions on a tight schedule to fill a vacancy or bring on more talent during an uptick in new business. Working […]
The SEC’s Director of Examinations recently reiterated the critical role that Chief Compliance Officers (“CCO”) play for both investment advisers and investment companies. The SEC’s language together with previous SEC guidance focused on outsourced CCOs implies that the SEC prefers in-house CCOs.