The SEC posted its examination priorities for 2013 on its website on…
Read MoreHow Can Hedge Funds Prepare For Tougher Oversight?
The SEC has made it clear that hedge funds will continue to…
Read MoreTime to Calculate Your Assets Under Management and Check It Twice
Registered investment advisers are required to update their Form ADV Part 1…
Read MoreAdviser Compliance for 2013, Part II: Annual Privacy Notices
In this heightened enforcement environment, it is increasingly important for advisers to…
Read MoreWill New SEC Head Mary Jo White Offer Fresh Perspective?
President Obama recently tapped Mary Jo White to head the SEC. In…
Read MoreFINRA Enters Crowdfunding Mix
While the crowds are waiting for the SEC to act, FINRA is…
Read MoreNew Rule Could Force Hedge Funds to Snitch
Hedge funds could soon be faced with additional reporting obligations. The Financial…
Read MoreNewly Registered Advisers Should Be Prepared for SEC Examinations
Newly registered advisers should expect SEC examiners to come knocking in 2013.…
Read MoreLinkedIn Adds Feature to Help Advisers Comply With Advertising Rules
SEC rules prohibit registered advisers from using testimonials, which include any statement…
Read MoreWhat’s Next? Hedge Fund Enforcement Priorities for 2013
The SEC has brought more than 100 cases against hedge fund managers…
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