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

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...

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...

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

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...

The Advisor as Fiduciary, 2015, Vol. 2 thumbnail

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...

A Few Thoughts on The Financial Advisor as Fiduciary, 2015 thumbnail

A Few Thoughts on The Financial Advisor as Fiduciary, 2015

I was speaking at an event for hedge fund managers the other day to introduce my new book, the Ultimate Guide to The Investment Advisers Act, a...

Think Before You Tweet: Top 5 Social Media Tips for Advisers thumbnail

Think Before You Tweet: Top 5 Social Media Tips for Advisers

So Apple announced its new iPhone 6 etc. about an hour ago — it’s probably old news by the time this post hits the wire, which is...

Top Ten Things You Need to Know About the Advisers Act thumbnail

Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (the Act) is the rulebook for SEC-registered investment advisers (RIAs). The Advisers Act, together with the related rules adopted by the...

Regulation: The New Normal for Hedge Funds? thumbnail

Regulation: The New Normal for Hedge Funds?

By all accounts, hedge funds are having a great year. According to the Wall Street Journal, fund managers added a net $26.32 billion of new cash in...

Mark Your Calendars for Your Annual Review thumbnail

Mark Your Calendars for Your Annual Review

Before you even start reading this, go to Outlook or whatever calendar you use, pick a date, and put in “Annual Review.”  Any time in the year...

SEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments thumbnail

SEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments

Whether or not 2014 will be the year of the alternative investments, many predict that this asset class will play an increasing role in the portfolio allocation...

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