Newly registered advisers to hedge funds and private equity funds are now…
Read MoreNovember Elections Renew Focus on “Pay to Play” Rules for Advisors
As election season gets into full swing, advisors should be cautious about…
Read MoreGoing Rogue: SEC Highlights Dangers of Unauthorized Trading
The Securities and Exchange Commission recently issued a Risk Alert regarding the…
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 MoreAdviser Update: Will FINRA and the SEC Be the New Dynamic Duo?
Advisers can expect the relationship between the Securities and Exchange Commission and…
Read MoreSEC Claims Investment Adviser Exaggerated AUM to Attract Clients
In previous posts, we have discussed that the Securities and Exchange Commission…
Read MoreDid You Hear? New Wave of SEC Enforcement Will Target Advisers
The word on the street is that the Securities and Exchange Commission…
Read MoreSEC Using Technology to Crack Down on Registered Investment Advisers
Federal and state securities regulators are increasingly using technology to pursue enforcement…
Read MoreAre You Prepared? Compliance Failures Can Lead to SEC Enforcement Actions for Newly Registered Advisers
Under the new rules for investment advisers, advisers to private equity groups…
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