Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (OCIE)…
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It sounds futuristic, or like CSI: Cyber, a sci-fi world of white…
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The Investment Advisers Act of 1940 (the Act) is the rulebook for…
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By all accounts, hedge funds are having a great year. According to…
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Before you even start reading this, go to Outlook or whatever calendar…
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Whether or not 2014 will be the year of the alternative investments,…
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It’s hard to believe that January is almost over and 2013 just…
Read MoreSetting the Stage for 2014: SEC Announces Exam Priorities
Pay attention to this one. Earlier this month, the SEC Office of…
Read MoreSEC Proposes Regulation A+ For Small Businesses
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