Mark Your Calendars for Your Annual Review

Before you even start reading this, go to Outlook or whatever calendar…

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SEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments

Whether or not 2014 will be the year of the alternative investments,…

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Year in Review: SEC Round Up for 2013

I love taking stock of the highlights of a year as it…

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SAC Capital, Insider Trading and the Southern District

It would be old news already if the case had not garnered…

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SEC Examinations Targeting Advisers Who Are Still Waiting for Godot

I have worked with a number of advisers who have never ever…

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Three Steps to an Effective Whistleblower Program

Everyone should have one. If you need more convincing, please read my…

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FINRA’s Conflicts of Interest Report: Bridging the Great Divide?

FINRA issued a report on conflicts of interest within the broker-dealer industry…

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Taking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million

The Securities and Exchange Commission awarded more than $14 million to a…

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What Are the Hallmarks of a Strong Compliance Program?

I thought it would be interesting to hear it from the horse’s…

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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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