As part of the implementation of the Dodd-Frank Act, all investment advisers…
Read MoreAdviser Update: Will FINRA and the SEC Be the New Dynamic Duo?
Advisers can expect the relationship between the Securities and Exchange Commission and…
Read MoreFINRA: Merrill Lynch Adviser Cannot Solicit Former Clients for One Year
Advisers should be aware that changing firms could lead to legal headaches,…
Read MoreNewly Registered Advisers: What You Need to Know About Advertising
Many advisers to private funds will be registering with the Securities and…
Read MoreSEC to Hold Adviser Compliance Seminar Tomorrow
The Securities and Exchange Commission will hold a national seminar to help…
Read MoreSEC: Social Media Poses Risks for Registered Investment Advisers
Everyone is using social media these days, including registered investment advisers. Social…
Read MoreInvestment Advisers: Best Practices for the Year Ahead
As we enter a new year, many of us are making plans…
Read MoreSEC Claims Investment Adviser Exaggerated AUM to Attract Clients
In previous posts, we have discussed that the Securities and Exchange Commission…
Read MoreClient Alert: Final Renewal Statements Now Online
As of January 3, 2012, online Final Renewal Statements for investment adviser…
Read MoreNew Year’s Resolutions for Registered Advisers: Update Your Compliance Manual
The Securities and Exchange Commission will be ramping up its enforcement activities…
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