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We’ve Registered Our Hedge Fund or Private Fund…Now What? thumbnail

We’ve Registered Our Hedge Fund or Private Fund…Now What?

The oversight of the Securities and Exchange Commission (SEC) now extends to hundreds more advisers to hedge funds and private equity firms than the agency first predicted....

Keeping It in the Family: A Closer Look at the Registration Requirements for Family Offices thumbnail

Keeping It in the Family: A Closer Look at the Registration Requirements for Family Offices

As we have previously discussed on this blog, the Securities and Exchange Commission (SEC) has adopted a new family office exclusion from the Investment Advisers Act of...

Debate Over Investment Adviser Oversight Likely to Heat Up thumbnail

Debate Over Investment Adviser Oversight Likely to Heat Up

As the summer approaches, the debate over whether a new self-regulatory organization (SRO) should be created to oversee investment advisers is likely to heat up.  Lobbying efforts...

What Were FINRA’s Top Enforcement Priorities for 2011? thumbnail

What Were FINRA’s Top Enforcement Priorities for 2011?

In 2011, enforcement actions and fines by the Financial Industry Regulatory Authority (FINRA) went up sharply. In fact, 2011 was the third year in a row FINRA...

Will Some Private Fund Advisers Be Given a Free Pass From SEC Registration? thumbnail

Will Some Private Fund Advisers Be Given a Free Pass From SEC Registration?

Their may be cases where the Securities and Exchange Commission will grant exemptive relief for private fund advisors that must now register as investment advisers under Dodd-Frank....

What Are They Looking For? The SEC’s Top Priorities For Advisory Firms thumbnail

What Are They Looking For? The SEC’s Top Priorities For Advisory Firms

It is clear that investment advisers are facing increased scrutiny by the Securities and Exchange Commission. But what exactly are they looking for? Speaking at a recent...

Going Rogue: SEC Highlights Dangers of Unauthorized Trading thumbnail

Going Rogue: SEC Highlights Dangers of Unauthorized Trading

The Securities and Exchange Commission recently issued a Risk Alert regarding the dangers of unauthorized trading. It specifically encourages broker-dealers and investment advisers to review their policies...

Think Before You Click: FINRA Warns Investment Firms About New Scam thumbnail

Think Before You Click: FINRA Warns Investment Firms About New Scam

Cyber-security should be a top priority for everyone in the financial services industry, especially in light of a recent flood of email scams targeted at brokers and...

Time to Brush Up Your Writing Skills: Brochure Requirements for Newly Registered Advisers

As part of their new obligations under the Advisers Act, newly registered advisers must file with the SEC Form ADV Part 2A (the “brochure”) at the time...

Do Your Clients Still Qualify? SEC Tighten Rules on Investment Advisory Performance Fees thumbnail

Do Your Clients Still Qualify? SEC Tighten Rules on Investment Advisory Performance Fees

The Securities and Exchange Commission has announced that it is tightening its rule on investment advisory performance fees. The amendments are effective on May 22, 2012. Under...

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