In previous posts, we have discussed that the Securities and Exchange Commission…
Read MoreNew Year’s Resolutions for Registered Advisers: Update Your Compliance Manual
The Securities and Exchange Commission will be ramping up its enforcement activities…
Read MoreHeightened Examination Will Come at a Higher Cost for Investment Advisers
As we mentioned in our last post, increased adviser oversight is likely…
Read MoreThe Big Question for 2012: Who Will Regulate Investment Advisers?
It is likely that investment advisers will see more rule changes in…
Read MoreTrend to Watch for 2012: Outsourcing Investment Adviser Compliance
With all of the new regulatory changes, compliance will likely be a…
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