Author: Matt Calabro

The COVID-19 pandemic and related shutdown of global economies will be remembered as one of the most significant shocks to…

Recently, the SEC announced the settlement of an enforcement case against Morgan Stanley Smith Barney (MSSB) involving charges that MSSB…

We don’t know when, but at some point we will have to put on shoes, get a haircut and return…

Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s…

At its August 21, 2019 Open Meeting, the Securities and Exchange Commission (“SEC”) voted 3-2 to issue guidance to assist…

We have been conducting roundtables and talking to industry leaders to help them identify the challenges that broker-dealers will face…

Engaging third-party service providers to perform key functions can offer an investment adviser access to state-of-the-art technology and solutions necessary…

One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading…

Advanced planning for a regulatory exam remains a vital step in ensuring the compliance team is prepared when the exam…