Finding A Way.

Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business Against Them

It sounds futuristic, or like CSI: Cyber, a sci-fi world of white hat/ black hat hackers, and of constant threats to national security and the financial markets...

Think Before You Tweet: Top 5 Social Media Tips for Advisers

So Apple announced its new iPhone 6 etc. about an hour ago — it’s probably old news by the time this post hits the wire, which is...

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...

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...

SEC Proposes Regulation A+ For Small Businesses

With all eyes focused on the lifting on the ban on solicitation and the new proposed equity crowd funding rules, one major rulemaking proposal mandated under the...

Year in Review: SEC Round Up for 2013

I love taking stock of the highlights of a year as it draws to a close, so I am doing a mini-series of posts on topic.  The...

The Annual Drill—Calculating Regulatory Assets Under Management for Form ADV

While working on the chapter on Regulatory Assets Under Management for my new book about Dodd Frank and the Advisers Act, I realized that now would be...

SAC Capital, Insider Trading and the Southern District

It would be old news already if the case had not garnered so many superlatives.  One of the country’s most famous hedge fund managers.  The largest insider...

SEC Examinations Targeting Advisers Who Are Still Waiting for Godot

I have worked with a number of advisers who have never ever been examined by the SEC, not once in their 10 +, 15+, etc. years of...

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