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Time to Get a New Filing Cabinet? Record Keeping Obligations for Newly Registered Advisers thumbnail

Time to Get a New Filing Cabinet? Record Keeping Obligations for Newly Registered Advisers

As we have been discussing on this blog, many advisers to private equity and hedge funds are required to register as investment advisers with the SEC by...

Is the White House Coming for You? New Budget Proposal Calls for Increased Adviser Oversight thumbnail

Is the White House Coming for You? New Budget Proposal Calls for Increased Adviser Oversight

The Obama Administration’s budget proposal for 2013 is a very interesting indication as to how it views the role of the investment adviser and its supervision by...

Have You Marked Your Calendars? Important Compliance Dates for the Remainder of 2012 thumbnail

Have You Marked Your Calendars? Important Compliance Dates for the Remainder of 2012

Big changes are in store for investment advisers over the next few months, and your preparations should be well under way. Under new registration thresholds and requirements,...

Newly-Registered Investment Advisers: Understanding Your Fiduciary Obligations thumbnail

Newly-Registered Investment Advisers: Understanding Your Fiduciary Obligations

As we have been discussing on this blog, many advisers to private equity and hedge funds will be required to register as investment advisers with the SEC...

Merrill Lynch Fined $1 Million for Failing to Arbitrate Employee Disputes thumbnail

Merrill Lynch Fined $1 Million for Failing to Arbitrate Employee Disputes

As we discussed last week, when advisers switch firms, it can often result in legal headaches. A recent action by the Financial Industry Regulatory Authority (FINRA) shows...

FINRA Outlines Top Enforcement Priorities for Broker-Dealers thumbnail

FINRA Outlines Top Enforcement Priorities for Broker-Dealers

The Financial Industry Regulatory Authority recently released its regulatory and examination priorities for 2012. The 16-page letter offers valuable insight into what examiners may be looking for...

SEC Remarks at Compliance Outreach Program Emphasize Role of Senior Management thumbnail

SEC Remarks at Compliance Outreach Program Emphasize Role of Senior Management

As we mentioned in an earlier blog post, the Securities and Exchange Commission recently held a Compliance Outreach Program National Seminar in Washington, D.C. for investment advisers...

Are You Ready to Comply With the New Large Trader Reporting Rule? thumbnail

Are You Ready to Comply With the New Large Trader Reporting Rule?

This summer, the Securities and Exchange Commission adopted a new rule establishing large trader reporting requirements. The rule is designed to enhance the agency’s ability to identify...

Advisers to Private Equity and Hedge Funds: Have You Created a Code of Ethics? thumbnail

Advisers to Private Equity and Hedge Funds: Have You Created a Code of Ethics?

As we have been discussing on this blog, under the new rules, many advisers to private equity and hedge funds are required to register as investment advisers...

Advisers Must File Form ADV By February 14

As part of the implementation of the Dodd-Frank Act, all investment advisers (including private equity, venture capital and hedge fund managers) with at least $25 million in...

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