Investment Adviser | Risk Management Updates (RMU) The Importance of Best Execution February 28, 2014 by Michelle Jacko February 2014
Performance Advertising | Risk Management Updates (RMU) Social Media – The Latest Regulatory Guidance for Compliance Considerations September 30, 2011 by Michelle Jacko Sept. 2011
Disclosures | Risk Management Updates (RMU) Where We Are Today with the Dodd-Frank Act May 26, 2011 by Michelle Jacko May 2011
Form ADV | Risk Management Updates (RMU) The New Form ADV Part 2: The Next Chapter for Investment Adviser Requirements August 1, 2010 by Michelle Jacko Aug. 2010
Broker-Dealers | FINRA | Performance Advertising | Risk Management Updates (RMU) FINRA’s Proposed Amendments to Rule 2210-Communications with the Public December 1, 2009 by Michelle Jacko Dec. 2009
Risk Management Updates (RMU) Final Model Privacy Form Adopted by the SEC & Regulation S-P Updates November 1, 2009 by Michelle Jacko Nov. 2009
Risk Management Updates (RMU) | Securities and Exchange Commission (SEC) SEC Rule Proposal: Regulating “Pay to Play” Practices September 1, 2009 by Michelle Jacko Sept. 2009
Disclosures | Risk Management Updates (RMU) Hedge Fund Compliance & the Aftermath of Goldstein July 1, 2009 by Michelle Jacko July 2007
Investment Adviser | Risk Management Updates (RMU) Alternative Adviser Registration Options June 1, 2009 by Michelle Jacko June 2009
