Finding A Way.

The SEC Gives a Heads-Up: Investment Adviser Exam Priorities for 2013

The SEC posted its examination priorities for 2013 on its website on Thursday last week. They address market-wide overall themes, investment advisers (IAs)/investment companies, broker-dealers, clearing and...

How Can Hedge Funds Prepare For Tougher Oversight?

The SEC has made it clear that hedge funds will continue to be a top priority for its Enforcement Division. In addition to outlining the agency’s priorities,...

Time to Calculate Your Assets Under Management and Check It Twice

Registered investment advisers are required to update their Form ADV Part 1 and 2A within 90 days of their fiscal-year end. For most advisers, the deadline is...

Adviser Compliance for 2013, Part II: Annual Privacy Notices

In this heightened enforcement environment, it is increasingly important for advisers to meet all of their annual compliance obligations. Under Regulation S-P, advisers, brokers, and investment companies...

Will New SEC Head Mary Jo White Offer Fresh Perspective?

President Obama recently tapped Mary Jo White to head the SEC. In doing so, he made it very clear announcing the nomination that enforcement will remain a...

FINRA Enters Crowdfunding Mix

While the crowds are waiting for the SEC to act, FINRA is taking steps to prepare. It recently issued a voluntary Interim Form for Funding Portals designed...

New Rule Could Force Hedge Funds to Snitch

Hedge funds could soon be faced with additional reporting obligations. The Financial Crimes Enforcement Network (FinCEN) will reportedly propose a new rule that would require hedge funds...

Newly Registered Advisers Should Be Prepared for SEC Examinations

Newly registered advisers should expect SEC examiners to come knocking in 2013. Last fall, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced that it would...

LinkedIn Adds Feature to Help Advisers Comply With Advertising Rules

SEC rules prohibit registered advisers from using testimonials, which include any statement of a client's experience with the adviser or a client's endorsement of the adviser. Most...

What’s Next? Hedge Fund Enforcement Priorities for 2013

The SEC has brought more than 100 cases against hedge fund managers since 2010 and shows no signs of slowing down. No doubt, hedge funds will continue...

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