Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (OCIE)…
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This January, as with every January, the SEC’s Office of Compliance Inspections…
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It sounds futuristic, or like CSI: Cyber, a sci-fi world of white…
Read MoreThe Advisor as Fiduciary, 2015, Vol. 2
This is my favorite topic. If you read my last post, you…
Read MoreA Few Thoughts on The Financial Advisor as Fiduciary, 2015
I was speaking at an event for hedge fund managers the other…
Read MoreThink Before You Tweet: Top 5 Social Media Tips for Advisers
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…
Read MoreRegulation: The New Normal for Hedge Funds?
By all accounts, hedge funds are having a great year. According to…
Read MoreMark Your Calendars for Your Annual Review
Before you even start reading this, go to Outlook or whatever calendar…
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Whether or not 2014 will be the year of the alternative investments,…
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