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

Whitepapers

Interval and Tender Offer Funds

Learn the regulatory framework and operational considerations associated with unlisted closed-end funds. Did you know that closed-end funds’ regulatory and… Read More

Download

Mutual Fund Distribution Guide

Do you have a strategy when covering broker-dealers? We believe getting to know the intermediary mindset is critical for asset… Read More

Download

How to Successfully Cover a Broker-Dealer

Do you have a strategy when covering broker-dealers? We believe getting to know the mindset of the intermediary is critical… Read More

Download

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

Download

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

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

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

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 advisors, as well as advisors that… 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

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

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

Download

Changing + Adapting Your Distribution Model

Changing + Adapting your Distribution Model:  While evolving regulations and changing investor behaviors have been significant over the past few years,… Read More

Download

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

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

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

Download

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

Download

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

Download

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