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3 minute read
In recent years the SEC has been paying close attention to discrepancies in Form ADV filings and...
3 minute read
FINRA Rule 1250 requires registered persons to participate in Continuing Education (“CE”). The term...
1 minute read
On Friday, February 3, the Trump Administration issued a memorandum which is likely to delay...
4 minute read
Last month we discussed how a Family Office is exempt from the definition of “investment adviser”...
3 minute read
The term “family office” has multiple meanings in the securities universe. Here we discuss the...
2 minute read
On January 12, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced...
3 minute read
As 2016 came to a close, a few investment advisers finally found time to follow up on compliance...
4 minute read
The Securities and Exchange Commission (“SEC”) has disciplined firms and individuals for...
2 minute read
Ho Ho Ho…Tis the season. It’s that time of year again – the holiday season is officially upon us....