We’ve Registered Our Hedge Fund or Private Fund…Now What?

The oversight of the Securities and Exchange Commission (SEC) now extends to…

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Keeping It in the Family: A Closer Look at the Registration Requirements for Family Offices

As we have previously discussed on this blog, the Securities and Exchange…

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Debate Over Investment Adviser Oversight Likely to Heat Up

As the summer approaches, the debate over whether a new self-regulatory organization…

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What Were FINRA’s Top Enforcement Priorities for 2011?

In 2011, enforcement actions and fines by the Financial Industry Regulatory Authority…

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Will Some Private Fund Advisers Be Given a Free Pass From SEC Registration?

Their may be cases where the Securities and Exchange Commission will grant…

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What Are They Looking For? The SEC’s Top Priorities For Advisory Firms

It is clear that investment advisers are facing increased scrutiny by the…

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Going Rogue: SEC Highlights Dangers of Unauthorized Trading

The Securities and Exchange Commission recently issued a Risk Alert regarding the…

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Think Before You Click: FINRA Warns Investment Firms About New Scam

Cyber-security should be a top priority for everyone in the financial services…

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Time to Brush Up Your Writing Skills: Brochure Requirements for Newly Registered Advisers

As part of their new obligations under the Advisers Act, newly registered…

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Do Your Clients Still Qualify? SEC Tighten Rules on Investment Advisory Performance Fees

The Securities and Exchange Commission has announced that it is tightening its…

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