Everyone is using social media these days, including registered investment advisers. Social…
Read MoreInvestment Advisers: Best Practices for the Year Ahead
As we enter a new year, many of us are making plans…
Read MoreSEC Claims Investment Adviser Exaggerated AUM to Attract Clients
In previous posts, we have discussed that the Securities and Exchange Commission…
Read MoreClient Alert: Final Renewal Statements Now Online
As of January 3, 2012, online Final Renewal Statements for investment adviser…
Read MoreNew Year’s Resolutions for Registered Advisers: Update Your Compliance Manual
The Securities and Exchange Commission will be ramping up its enforcement activities…
Read MoreHeightened Examination Will Come at a Higher Cost for Investment Advisers
As we mentioned in our last post, increased adviser oversight is likely…
Read MoreTrend to Watch for 2012: Outsourcing Investment Adviser Compliance
With all of the new regulatory changes, compliance will likely be a…
Read MoreDid You Hear? New Wave of SEC Enforcement Will Target Advisers
The word on the street is that the Securities and Exchange Commission…
Read MoreSEC Using Technology to Crack Down on Registered Investment Advisers
Federal and state securities regulators are increasingly using technology to pursue enforcement…
Read MoreCan You Handle the Truth? SEC Targeting False Information on Advisers’ ADVs
As part of its stepped up enforcement activities, the Securities and Exchange…
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