The SEC has finally approved a new rule to lift the ban…
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In remarks before the American Bar Association, David W. Blass, Chief Counsel,…
Read MoreHow Would Obama’s Budget Impact Advisers?
On April 10, President Barak Obama unveiled his 2014 budget. The plan…
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Don’t tell me I didn’t tell you so! Just one week after…
Read MoreNew Study Backs Up SEC’s Focus on Valuation
The SEC has targeted valuation as a serious compliance concern for private…
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 MoreAre More Private Equity Enforcement Actions On the Horizon?
The SEC has traditionally targeted private equity funds far less than hedge…
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 MoreTime to Calculate Your Assets Under Management and Check It Twice
Registered investment advisers are required to update their Form ADV Part 1…
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