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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Congress Could Nix Mandatory Arbitration With Investors Choice Act

In light of the absence of SEC action on topic, Rep. Keith…

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SEC Shows Its Teeth With Falcone Settlement

Hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital…

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Do You Have a Business Continuity Plan?

We are entering the height of hurricane season on the East Coast,…

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SEC Finally Lifts General Solicitation Ban

The SEC has finally approved a new rule to lift the ban…

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A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a Form ADV

A Practical Guide for Calculating Regulatory Assets Under Management on Part 1a…

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A Practical Guide for Changes to Form ADV

A Practical Guide for Changes to Form ADV

A Practical Guide for Exempt Reporting Advisers: a New Category of Investment Advisers Created Under Dodd-Frank

A Practical Guide for Exempt Reporting Advisers: a New Category of Investment…

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A Practical Guide for Family Offices: Exemption Under the Advisers Act

A Practical Guide for Family Offices: Exemption Under the Advisers Act

A Practical Guide for Foreign Advisers: Foreign Private Adviser Exemption from Registration With the Sec As an Investment Adviser

A Practical Guide for Foreign Advisers: Foreign Private Adviser Exemption from Registration…

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