As we have been discussing on this blog, many advisers to private…
Read MoreIs the White House Coming for You? New Budget Proposal Calls for Increased Adviser Oversight
The Obama Administration’s budget proposal for 2013 is a very interesting indication…
Read MoreHave You Marked Your Calendars? Important Compliance Dates for the Remainder of 2012
Big changes are in store for investment advisers over the next few…
Read MoreNewly-Registered Investment Advisers: Understanding Your Fiduciary Obligations
As we have been discussing on this blog, many advisers to private…
Read MoreMerrill Lynch Fined $1 Million for Failing to Arbitrate Employee Disputes
As we discussed last week, when advisers switch firms, it can often…
Read MoreFINRA Outlines Top Enforcement Priorities for Broker-Dealers
The Financial Industry Regulatory Authority recently released its regulatory and examination priorities…
Read MoreSEC Remarks at Compliance Outreach Program Emphasize Role of Senior Management
As we mentioned in an earlier blog post, the Securities and Exchange…
Read MoreAre You Ready to Comply With the New Large Trader Reporting Rule?
This summer, the Securities and Exchange Commission adopted a new rule establishing…
Read MoreAdvisers to Private Equity and Hedge Funds: Have You Created a Code of Ethics?
As we have been discussing on this blog, under the new rules,…
Read MoreAdvisers Must File Form ADV By February 14
As part of the implementation of the Dodd-Frank Act, all investment advisers…
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