So Apple announced its new iPhone 6 etc. about an hour ago…
Read MoreTop Ten Things You Need to Know About the Advisers Act
The Investment Advisers Act of 1940 (the Act) is the rulebook for…
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Whether or not 2014 will be the year of the alternative investments,…
Read MoreMark Your Calendars: Key Compliance Dates for Advisers
It’s hard to believe that January is almost over and 2013 just…
Read MoreWhat Are the Hallmarks of a Strong Compliance Program?
I thought it would be interesting to hear it from the horse’s…
Read MoreNew Rule 506(c) — Are You Sure You Are Reasonable?
It went in effect yesterday. “It” being the SEC’s historic amendment to…
Read MoreProposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban
SEC Chair Mary Jo White recently confirmed that the SEC will not…
Read MoreSEC Brings First Action Under Chief Compliance Officer Rule
The SEC recently sanctioned a former portfolio manager under Rule 38a-1(c) of…
Read MoreSEC Shows Its Teeth With Falcone Settlement
Hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital…
Read MoreDo You Have a Business Continuity Plan?
We are entering the height of hurricane season on the East Coast,…
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