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 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 MoreFINRA: Merrill Lynch Adviser Cannot Solicit Former Clients for One Year
Advisers should be aware that changing firms could lead to legal headaches,…
Read MoreNewly Registered Advisers: What You Need to Know About Advertising
Many advisers to private funds will be registering with the Securities and…
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