Finding A Way.

SEC: Social Media Poses Risks for Registered Investment Advisers

Everyone is using social media these days, including registered investment advisers. Social media allows advisers to communicate with existing and potential clients, promote services, educate investors, and...

Investment Advisers: Best Practices for the Year Ahead

As we enter a new year, many of us are making plans to grow and strengthen our businesses. For investment advisers, that should mean incorporating compliance best...

SEC Claims Investment Adviser Exaggerated AUM to Attract Clients

In previous posts, we have discussed that the Securities and Exchange Commission has stepped up enforcement of registered investment advisers, particularly when it comes to their Form...

Client Alert: Final Renewal Statements Now Online

As of January 3, 2012, online Final Renewal Statements for investment adviser (IA) firms are available in IARD/Web CRD. These statements will reflect the final registration statuses...

New Year’s Resolutions for Registered Advisers: Update Your Compliance Manual

The Securities and Exchange Commission will be ramping up its enforcement activities in 2012, especially when it comes to registered investment advisers. As we noted in several...

Heightened Examination Will Come at a Higher Cost for Investment Advisers

As we mentioned in our last post, increased adviser oversight is likely on the horizon. While we will still don’t know what form it will take, a...

Trend to Watch for 2012: Outsourcing Investment Adviser Compliance

With all of the new regulatory changes, compliance will likely be a primary concern for registered investment advisers in 2012. For many small firms, complying will all...

Did You Hear? New Wave of SEC Enforcement Will Target Advisers

The word on the street is that the Securities and Exchange Commission is preparing for a new wave of enforcement that will specifically target investment advisers. As...

SEC Using Technology to Crack Down on Registered Investment Advisers

Federal and state securities regulators are increasingly using technology to pursue enforcement actions against investment advisers. In fact, the Securities and Exchange Commission expects to bring an...

Can You Handle the Truth? SEC Targeting False Information on Advisers’ ADVs

As part of its stepped up enforcement activities, the Securities and Exchange Commission is targeting investment advisers who have been less than truthful on their registration forms....

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