SEC Risk Alert: 5 Things Not to Do, Advisers!

SEC Risk Alert - 5 Things Not to Do by Bettina Eckerle

Earlier this year, the SEC’s Office  of Compliance Inspections and Examinations (OCIE)…

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Think Before You Tweet: Top 5 Social Media Tips for Advisers

Social Media Tips for Advisers

So Apple announced its new iPhone 6 etc. about an hour ago…

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Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (the Act) is the rulebook for…

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SEC 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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