It sounds futuristic, or like CSI: Cyber, a sci-fi world of white…
Read MoreThink Before You Tweet: Top 5 Social Media Tips for Advisers
So Apple announced its new iPhone 6 etc. about an hour ago…
Read MoreTop Ten Things You Need to Know About the Advisers Act
The Investment Advisers Act of 1940 (the Act) is the rulebook for…
Read MoreSEC Issues Risk Alert: Advisers’ Due Diligence Processes for Selecting Alternative Investments
Whether or not 2014 will be the year of the alternative investments,…
Read MoreMark Your Calendars: Key Compliance Dates for Advisers
It’s hard to believe that January is almost over and 2013 just…
Read MoreSEC Proposes Regulation A+ For Small Businesses
With all eyes focused on the lifting on the ban on solicitation…
Read MoreYear in Review: SEC Round Up for 2013
I love taking stock of the highlights of a year as it…
Read MoreThe Annual Drill—Calculating Regulatory Assets Under Management for Form ADV
While working on the chapter on Regulatory Assets Under Management for my…
Read MoreSAC Capital, Insider Trading and the Southern District
It would be old news already if the case had not garnered…
Read MoreSEC 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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