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The Ultimate Guide to the Advisers Act: A Practitioner’s Handbook

PRESS RELEASE - NEW YORK, NY, January 13, 2015

"The Ultimate Guide to the Advisers Act: A Practitioner’s Handbook" gives investment advisers a clear look at the Advisers Act.

Eckerle Law founder releases a practical, plain-English guide for the day-to-day practitioner on how to comply with regulations imposed by the Investment Advisers Act in the post Dodd-Frank era.

START-UPS

What is the Best Legal Structure for Your Start-Up?

Some of the questions I get asked by my start-up clients are perennial in nature, with the most common being: Do I have to form a legal…

START-UPS

Get Your Pre-Nup

Start-Ups: Get Your Pre-nup

Two or more people decide to launch a new business, and this is how it typically goes down regarding the relationship between them: "We have known each…

START-UPS

Founders Starting a Venture

3 Essential Tasks for Founders Starting a Venture

As I’ve written before, the race to opening your new venture is characterized by expansive enthusiasm—but that doesn’t make having important legal safeguards any less important. Unfortunately,…

THE BOOK

Make compliance an asset.

Read my practical guide for all your day-to-day compliance needs.

www.amazon.com

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ENTREPRENEURS

Intellectual Property

Intellectual Property: Are You Set Up For Success?

One of my mantras when advising clients is to pay particular attention to their intellectual property when thinking about building value in their companies. This requires a…

ENTREPRENEURS

Selling Your Business: Acing Due Diligence

You put your company up for sale, potential buyers are lining up.  What then follows is the inevitable: The due diligence process, in which the buyer kicks…

ENTREPRENEURS

Friends and Family—A Good Funding Source?

It is tempting. It is difficult to raise funds from angels and VCs, especially when most of what you have is just an idea. I get it. …

NEWS & TRENDS

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FINANCIAL ADVISERS

SEC Risk Alert - 5 Things Not to Do by Bettina Eckerle

SEC Risk Alert: 5 Things Not to Do, Advisers!

Earlier this year, the SEC’s Office  of Compliance Inspections and Examinations (OCIE) published a Risk Alert with the “five compliance topics most frequently identified in deficiency letters to…

FINANCIAL ADVISERS

SEC Exam Priorities 2017

SEC Exam Priorities 2017

This January, as with every January, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its examination priorities for investment advisors for the year, many of…

FINANCIAL ADVISERS

Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business

Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business Against Them

It sounds futuristic, or like CSI: Cyber, a sci-fi world of white hat/ black hat hackers, and of constant threats to national security and the financial markets…

FINANCIAL ADVISERS

The Advisor as Fiduciary, 2015, Vol. 2

This is my favorite topic. If you read my last post, you understand why I believe that acting in the spirit of "fiduciary" sets every advisory firm…

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