COVID-19 Response Email Us 1-866-251-6920

Whitepapers

Internal Broker-Dealer: Essential or Not?

Yes, fund managers need a broker-dealer to serve as the legal underwriter to the firm’s registered funds and to maintain… Read More

Download

Giving CCOs the Help They Need

The increased demands placed on chief compliance officers in a volatile market are creating regulatory risks that threaten to “trickle… Read More

Download

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

Download

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

Download

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

Download

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

Download

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

Download

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

Download

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

Download

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

Download