Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (OCIE)…
Read MoreTop Ten Things You Need to Know About the Advisers Act
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The Investment Advisers Act of 1940 (the Act) is the rulebook for…
Read MoreSEC Brings First Action Under Chief Compliance Officer Rule
The SEC recently sanctioned a former portfolio manager under Rule 38a-1(c) of…
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