Topic Corporate Governance
Read about the latest corporate governance news and updates below.
Corporate Governance Update: How Delaware Law Interacts with Federal Securities Law
For many asset managers and investment companies, the topic of compliance tends to focus on federal securities, particularly Rule 206(4)-7 under the Investment Advisers Act of 1940 (the "Advisers Act) and Rule 38a-1 under the Investment Company Act of 1940 (the "Company Act").
CCO Tech Announces First Ever Compliance Automation Solution for Registered Investment Advisers
CCO Tech today announces the release of its SEC Filing Manager, the first module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs).