23rd October 2018

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Winnetka, IL 60093

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(847) 274 5229


The SEC guidance regarding business continuity:

MFDF comments on the SEC guidance:

CFTC enforcement action alleges misstatements in an annual compliance report:

New SEC Rules for Form ADV:

OCIE’s 2015 Cybersecurity Examination Initiative:

The Department of Labor’s “Understanding Retirement Plan Fees and Expenses”

OCIE’s Risk Alert regarding Examinations of Supervision Practices at Registered Investment Advisers:

SEC guidance on Cybersecurity:

SEC guidance on mutual fund distribution and sub-accounting fees: