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When people think of an Investment Adviser, their first notion would likely be of the trading desk. The desk is…
Since the Madoff Ponzi scheme unraveled, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has been under the microscope. Wide criticism has…
An investment adviser posts a seemingly innocuous comment to his firm’s social networking profile page, congratulating his colleagues on a successful year…
In the post-Dodd-Frank regulatory world, investment advisers seeking to meet the expectations of the Securities and Exchange Commission (“SEC”), or of other regulators,…
Whether technologically-savvy or not, investment advisers of all backgrounds appear keenly interested in latest industry trend – the migration to…
Technology has quickly infiltrated all aspects of our lives. Whether it’s built-in GPS technology in mobile devices or the proliferation of applications…
Compliance is a unique and somewhat paradoxical professional responsibility – one that must simultaneously co-exist in a silo of independence…
The anniversary filing of the revamped Form ADV Part 1A, which included material changes to the Part 2A brochure, is…
Utilizing Change Management to Evidence Monitoring As the SEC arrives to the technology party in a very public manner, investment advisers…
The New Security Risk When it comes to mobile devices, investment advisers used to have two choices – either they…
New product offerings continue to proliferate as Wall Street strives to meet consumer demand. What is driving this process? Among…
Social media took center stage again when the Division of Investment Management of the Securities and Exchange Commission (“SEC”) released…
