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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Setting the Stage for 2014: SEC Announces Exam Priorities

Pay attention to this one.  Earlier this month, the SEC Office of…

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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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SEC Issues Guidance on General Solicitation Rules

On November 13, the SEC released Compliance and Disclosure Interpretations (“C&DIs”) for…

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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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The SEC and the Chief Compliance Officer, 2013

Mary Jo White recently gave a speech before the National Society of…

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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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Crowdfunding, the SEC and The New Rules—What Finally Came Down Today

The wait and speculation is over for now.  Today the SEC proposed…

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