Simpson Thacher Attorneys Author Article on Compliance Policy Updates for Investment Advisers and Sponsors
05.14.24
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Partners Meaghan Kelly, David Blass and Michael Osnato authored an article titled, “Investment Advisers and Sponsors Compliance Policies: Hot Topics,” which was published by the Harvard Law School Forum on Corporate Governance. The article discussed recommendations for sponsors when refreshing their compliance policies and procedures to align with rapidly evolving regulatory expectations. It further provided a detailed list of areas that are currently the focus of regulators, including compliance with the amended Marketing Rule, SEC examiner focus on off-channel communications and scrutiny around the use of AI, among others.
To read the full article, please click here.