Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (OCIE)…
Read MoreThink Before You Tweet: Top 5 Social Media Tips for Advisers
So Apple announced its new iPhone 6 etc. about an hour ago…
Read MoreTop Ten Things You Need to Know About the Advisers Act
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…
Read More