Recent Posts

On August 27, 2013, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published...

According to an Investment News article written by Mark Schoeff Jr. and posted on March 11, 2020,...

Recent enforcement actions make it clear how important it is for investment advisors to make full...

On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced...

On December 18, 2019, the SEC proposed an updated accredited investor definition. Accredited...

On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitations...