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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SEC Issues Guidance on General Solicitation Rules

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

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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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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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Stop the Abuse—Elder Fraud Prevention and Privacy Laws

Several financial regulators, including the SEC, the CFTC, the FTC and the…

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Welcome to the Club: Municipal Advisors Now Subject to SEC Scrutiny

The registered advisor community just got a little larger. The SEC recently…

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New Report: FINRA Fines Trending Downward

FINRA fines are significantly lower for the first half of 2013, according…

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