As we mentioned in our last post, increased adviser oversight is likely…
Read MoreThe Big Question for 2012: Who Will Regulate Investment Advisers?
It is likely that investment advisers will see more rule changes in…
Read MoreTrend to Watch for 2012: Outsourcing Investment Adviser Compliance
With all of the new regulatory changes, compliance will likely be a…
Read MoreDid You Hear? New Wave of SEC Enforcement Will Target Advisers
The word on the street is that the Securities and Exchange Commission…
Read MoreSEC Using Technology to Crack Down on Registered Investment Advisers
Federal and state securities regulators are increasingly using technology to pursue enforcement…
Read MoreCan You Handle the Truth? SEC Targeting False Information on Advisers’ ADVs
As part of its stepped up enforcement activities, the Securities and Exchange…
Read MoreAre You Prepared? Compliance Failures Can Lead to SEC Enforcement Actions for Newly Registered Advisers
Under the new rules for investment advisers, advisers to private equity groups…
Read MoreNew Requirements for Advisers to Private Funds: SEC Form PF
Advisers to private funds will have a host of new reporting requirements…
Read MoreNew Rules for Investment Advisers: Is Your Family Office Required to Register Under the New Rules?
As we mentioned in previous blog post, the Dodd-Frank Act repealed the…
Read MoreNew Rules for Investment Advisers: Have You Properly Calculated Your Assets Under Management?
Under the new rules for investment advisers, one of the most important…
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