September 3, 2020
What makes one firm – and the various professionals who represent it – live and breathe by the book, while…
Author: Victoria Angerthal
June 25, 2020
For ERISA plan fiduciaries who thought they were being responsible and addressing participants’ demands by including investments in employee retirement…
June 24, 2020
FINRA recently deployed a new security feature for users of the Web CRD and IARD systems which is being rolled…
August 20, 2019
Sometimes it seems that enough is never really enough. While compliance officers have grown intimately familiar with SEC Rule 206(4)-7…
May 7, 2019
Rule 206(4)-7 requires each registered adviser to review its policies and procedures no less frequently than annually, to determine their…
April 25, 2019
Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…
April 23, 2019
United States and European Union reporting requirements imposed on investment managers have exploded since the Global Financial Crisis and, with…