The SEC has finally approved a new rule to lift the ban…
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Speculation is again growing about when the SEC will complete its rulemaking…
Read MoreHow Would Obama’s Budget Impact Advisers?
On April 10, President Barak Obama unveiled his 2014 budget. The plan…
Read MoreAdviser Compliance for 2013, Part IV: Review Your Code of Ethics
Advisers must be sure that their annual compliance review includes the firm’s…
Read MoreThe SEC Speaks at the New York City Bar March 8
Wayne Carlin, litigation partner at Wachtell, Lipton, Rosen & Katz, chaired a…
Read MoreAdviser Compliance for 2013, Part III: Make Sure Your IARD Account Is Funded
Before you submit your annual ADV updating amendment, the Investment Adviser Registration…
Read MoreHow Can Hedge Funds Prepare For Tougher Oversight?
The SEC has made it clear that hedge funds will continue to…
Read MoreTime to Calculate Your Assets Under Management and Check It Twice
Registered investment advisers are required to update their Form ADV Part 1…
Read MoreAdviser Compliance for 2013, Part II: Annual Privacy Notices
In this heightened enforcement environment, it is increasingly important for advisers to…
Read MoreNew Rule Could Force Hedge Funds to Snitch
Hedge funds could soon be faced with additional reporting obligations. The Financial…
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