In this heightened enforcement environment, it is increasingly important for advisers to…
Read MoreNewly Registered Advisers Should Be Prepared for SEC Examinations
Newly registered advisers should expect SEC examiners to come knocking in 2013.…
Read MoreThe Crowd Is Calling For JOBS Act Rules
While Democrats and Republicans currently do not agree on much, lawmakers for…
Read MoreOuch! State Actions Against Advisers Doubled in 2011
The number of enforcement actions involving investment adviser firms nearly doubled to…
Read MoreDoes It Add Up? Regulators Scrutinizing Assets Under Management
As predicted, securities regulators are increasing their scrutiny of advisers’ assets under…
Read MoreSEC Stepping Up Scrutiny of Private Equity Funds
After receiving the proxy for greater oversight of money-managers by Dodd-Frank, there…
Read MoreAdviser Oversight Bill May Turn on How You Define “SRO”
While legislation regarding adviser oversight has slowed, the debate has not. The…
Read MoreBetter Late Than Never: SEC Releases New Advertising and Solicitation Rules
The SEC has finally released its long-awaited proposed rules to eliminate the…
Read MoreSEC Focused on Fees: Tips for Newly Registered Advisers
The SEC is really driving it home these days—registered advisers should pay…
Read MoreYou Snooze, You Lose? Mid-Sized Advisers Could Face Deregistration
Mid-sized advisers that are no longer eligible for SEC registration were required…
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