Whitepapers

A private fund is a direct offering of securities to a limited number of qualified investors. Investors in private funds… Read More

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As the SEC’s proposed Advertising Rule moves forward, advisory firms should not let a social media consultant cause their compliance… Read More

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Investment advisors registered with the SEC will be required to deliver a new client relationship summary (Form CRS) to retail… Read More

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The proposed amendments to the Advertising Rule and Solicitation Rule apply to all SEC-registered advisers, as well as advisers that… Read More

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Running an independent registered investment adviser (RIA) presents many possibilities. Diligent advance planning is critical to a successful transition from… Read More

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Compliance is one extremely important element of operating a registered investment adviser, fund or broker-dealer, and many financial services professionals… Read More

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On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert detailing examiners’ latest… Read More

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Many investment advisers provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In… Read More

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The typical SEC examination will reveal some compliance deficiencies or internal control weaknesses at the firm. When the firm’s compliance… Read More

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Most people think that a Financial and Operations Principal (“FINOP”) deals only with filing FOCUS reports and/or computing net capital,… Read More

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Do you have a strategy when covering broker-dealers? We believe getting to know the mindset of the intermediary is critical… Read More

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