| Americas | Publications
NEWSLETTER: Events this month are obviously overshadowed by what is going on in Ukraine. I know you’re joining us in doing whatever we can to help. You can donate to the UN Refugee Agency through this link.
Back home, as we approach the Form ADV due date (March 31st for companies with a fiscal year ending on December 31st), compliance teams should switch gears to start their Annual Compliance review.
We have seen more activity from the regulators this month with SEC having published several proposed rules. We look at the latest publications below and will provide practical guidance on what you will need to do as soon as the new rules are finalized. We are also expecting SEC priorities list to be published any day now and will share our thoughts when it is.
It is my pleasure to welcome Valerie Ruppel to the US Practice this month. Valerie joins Bovill Newgate from SEC where she was an Attorney-Adviser in the Division of Examinations. During her 5 years with the commission, she conducted multiple examinations of registered investment adviser and registered investment companies. Valerie also won national awards for her exam work, founded, and managed an examiner risk committee, and participated in several initiatives related to Division of Examination priorities. Valerie will support our ongoing client work including preparation for SEC examinations.
We’re always happy to talk through any regulatory issues you may have. Get in touch to set up a call.
All the best,
Joao Chagas
Bovill Newgate US
