Finding A Way.

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

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

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

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

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...

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

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

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

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...

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