Their may be cases where the Securities and Exchange Commission will grant…
Read MoreWhat Are They Looking For? The SEC’s Top Priorities For Advisory Firms
It is clear that investment advisers are facing increased scrutiny by the…
Read MoreGoing Rogue: SEC Highlights Dangers of Unauthorized Trading
The Securities and Exchange Commission recently issued a Risk Alert regarding the…
Read MoreThink Before You Click: FINRA Warns Investment Firms About New Scam
Cyber-security should be a top priority for everyone in the financial services…
Read MoreTime to Brush Up Your Writing Skills: Brochure Requirements for Newly Registered Advisers
As part of their new obligations under the Advisers Act, newly registered…
Read MoreDo Your Clients Still Qualify? SEC Tighten Rules on Investment Advisory Performance Fees
The Securities and Exchange Commission has announced that it is tightening its…
Read MoreTime to Get a New Filing Cabinet? Record Keeping Obligations for Newly Registered Advisers
As we have been discussing on this blog, many advisers to private…
Read MoreIs the White House Coming for You? New Budget Proposal Calls for Increased Adviser Oversight
The Obama Administration’s budget proposal for 2013 is a very interesting indication…
Read MoreHave You Marked Your Calendars? Important Compliance Dates for the Remainder of 2012
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…
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