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Whitepapers

Private Fund Managers and Broker-Dealer Registration

A private fund is a direct offering of securities to a limited number of qualified investors. Investors in private funds… Read More

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Guidance on Testimonials and Social Media

As the SEC’s proposed Advertising Rule moves forward, advisory firms should not let a social media consultant cause their compliance… Read More

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Form CRS – Frequently Asked Questions

Investment advisors registered with the SEC will be required to deliver a new client relationship summary (Form CRS) to retail… Read More

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SEC Issues Proposal to Modernize the Advertising and Solicitation Rules

The proposed amendments to the Advertising Rule and Solicitation Rule apply to all SEC-registered advisers, as well as advisers that… Read More

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Successful Breakaway Requires Planning

Running an independent registered investment adviser (RIA) presents many possibilities. Diligent advance planning is critical to a successful transition from… Read More

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The Ins and Outs of Outsourcing Compliance

Compliance is one extremely important element of operating a registered investment adviser, fund or broker-dealer, and many financial services professionals… Read More

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The Cybersecurity 2 Initiative

On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert detailing examiners’ latest… Read More

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Top 10 FAQ’s For Providing Investment Advice to 401(K)

Many investment advisers provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In… Read More

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Mock SEC Exams: Benefits and Considerations

The typical SEC examination will reveal some compliance deficiencies or internal control weaknesses at the firm. When the firm’s compliance… Read More

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What Are a FINOP’s Real Duties?

Most people think that a Financial and Operations Principal (“FINOP”) deals only with filing FOCUS reports and/or computing net capital,… Read More

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