Finding A Way.

Selling Your Business: Acing Due Diligence

You put your company up for sale, potential buyers are lining up.  What then follows is the inevitable: The due diligence process, in which the buyer kicks...

Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (the Act) is the rulebook for SEC-registered investment advisers (RIAs). The Advisers Act, together with the related rules adopted by the...

Regulation: The New Normal for Hedge Funds?

By all accounts, hedge funds are having a great year. According to the Wall Street Journal, fund managers added a net $26.32 billion of new cash in...

Friends and Family—A Good Funding Source?

It is tempting. It is difficult to raise funds from angels and VCs, especially when most of what you have is just an idea. I get it. ...

Making Sense of Your Options: Raising Capital In Private Offerings

Let’s say you have started/built this really great business that needs funding right now to launch, survive, expand, take it to the next level, etc.  If you...

Costs of Equity Crowdfunding: Are Companies in for Sticker Shock?

When the SEC‘s proposed new rules for Regulation Crowdfunding came out in October last year, there was understandably a lot of excitement. What’s not to love about...

Mark Your Calendars for Your Annual Review

Before you even start reading this, go to Outlook or whatever calendar you use, pick a date, and put in “Annual Review.”  Any time in the year...

SEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments

Whether or not 2014 will be the year of the alternative investments, many predict that this asset class will play an increasing role in the portfolio allocation...

Mark Your Calendars: Key Compliance Dates for Advisers

It’s hard to believe that January is almost over and 2013 just a blur.   With matching speed, many of the compliance milestones that an investment adviser faces...

Setting the Stage for 2014: SEC Announces Exam Priorities

Pay attention to this one.  Earlier this month, the SEC Office of Compliance Inspection and Examination issued its annual list of 2014 examination priorities for a variety...

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