As election season gets into full swing, advisors should be cautious about…
Read MoreKeeping 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…
Read MoreWill Some Private Fund Advisers Be Given a Free Pass From SEC Registration?
Their may be cases where the Securities and Exchange Commission will grant…
Read MoreWhat Are They Looking For? The SEC’s Top Priorities For Advisory Firms
It is clear that investment advisers are facing increased scrutiny by the…
Read MoreDo Your Clients Still Qualify? SEC Tighten Rules on Investment Advisory Performance Fees
The Securities and Exchange Commission has announced that it is tightening its…
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 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 MoreInvestment Advisers: Best Practices for the Year Ahead
As we enter a new year, many of us are making plans…
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