As we have previously discussed on this blog, the Securities and Exchange…
Read MoreDebate Over Investment Adviser Oversight Likely to Heat Up
As the summer approaches, the debate over whether a new self-regulatory organization…
Read MoreTime to Brush Up Your Writing Skills: Brochure Requirements for Newly Registered Advisers
As part of their new obligations under the Advisers Act, newly registered…
Read MoreTime to Get a New Filing Cabinet? Record Keeping Obligations for Newly Registered Advisers
As we have been discussing on this blog, many advisers to private…
Read MoreNewly-Registered Investment Advisers: Understanding Your Fiduciary Obligations
As we have been discussing on this blog, many advisers to private…
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 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 MoreSEC: Social Media Poses Risks for Registered Investment Advisers
Everyone is using social media these days, including registered investment advisers. Social…
Read MoreNew Rules for Investment Advisers: Is Your Family Office Required to Register Under the New Rules?
As we mentioned in previous blog post, the Dodd-Frank Act repealed the…
Read MoreNew Rules for Investment Advisers: Are You Prepared to Comply With the Amended Form ADV?
In addition to expanding the number of investment advisers who must file…
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