Don’t tell me I didn’t tell you so! Just one week after…
Read MoreIt’s Back! The SEC Seeking Data on Potential Fiduciary Rule
On March 1, the SEC issued a long-awaited request for data from…
Read MoreAdviser Compliance for 2013, Part V: Tying up Loose Ends
Over the past several weeks, we have been outlining a compliance “to…
Read MoreNew Study Backs Up SEC’s Focus on Valuation
The SEC has targeted valuation as a serious compliance concern for private…
Read MoreAdviser Compliance for 2013, Part IV: Review Your Code of Ethics
Advisers must be sure that their annual compliance review includes the firm’s…
Read MoreThe SEC Speaks at the New York City Bar March 8
Wayne Carlin, litigation partner at Wachtell, Lipton, Rosen & Katz, chaired a…
Read MoreClass Action Waivers in Arbitration Agreements: Where Do We Stand?
A FINRA arbitration panel recently upheld Charles Schwab & Co.’s arbitration agreement…
Read MoreAre More Private Equity Enforcement Actions On the Horizon?
The SEC has traditionally targeted private equity funds far less than hedge…
Read MoreThe SEC’s 2013 Priorities: What Should Broker-Dealers Be Worried About?
Last week, we talked about the helpful heads-up that the SEC provided…
Read MoreAdviser Compliance for 2013, Part III: Make Sure Your IARD Account Is Funded
Before you submit your annual ADV updating amendment, the Investment Adviser Registration…
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