One of my mantras when advising clients is to pay particular attention…
Read MoreCyber-Attacks, and the Seven Steps to Protect Your Advisory Business Against Them
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 MoreMark Your Calendars for Your Annual Review
Before you even start reading this, go to Outlook or whatever calendar…
Read MoreMark Your Calendars: Key Compliance Dates for Advisers
It’s hard to believe that January is almost over and 2013 just…
Read MoreSetting the Stage for 2014: SEC Announces Exam Priorities
Pay attention to this one. Earlier this month, the SEC Office of…
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…
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