Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business Against Them

Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business

It sounds futuristic, or like CSI: Cyber, a sci-fi world of white…

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Think Before You Tweet: Top 5 Social Media Tips for Advisers

Social Media Tips for Advisers

So Apple announced its new iPhone 6 etc. about an hour ago…

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Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (the Act) is the rulebook for…

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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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Mark Your Calendars: Key Compliance Dates for Advisers

It’s hard to believe that January is almost over and 2013 just…

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SEC Proposes Regulation A+ For Small Businesses

With all eyes focused on the lifting on the ban on solicitation…

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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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The Annual Drill—Calculating Regulatory Assets Under Management for Form ADV

While working on the chapter on Regulatory Assets Under Management for my…

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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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