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Whitepapers

Five Keys to Establish a Compliant Digital Marketing Program

It is probably fair to say that many registered investment advisors tend to be hesitant when it comes to digital… 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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Grow with Regulatory Confidence

As seen in Wealthmanagement.com’s 2020 mid-year outlook, Grow With Regulatory Confidence highlights how mock examinations take the guesswork out of… Read More

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The Expanded ETF Ecosystem – Transparent and Semi-Transparent ETFs

The exchange-traded fund (“ETF”) ecosystem consists of a web of interlocking entities and relationships that help ensure ETFs can be… Read More

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What Private Fund Managers + Issuers Need to Know

For firms that are marketing privately-issued securities, whether as a private fund manager or issuer, ensuring their activity is compliant… Read More

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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

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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

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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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