Investment Adviser State Registration and De Minimus Exemption
April 1, 2009
by
Michelle Jacko
Current market events and economic downturns have created a domino effect for investment advisers when it comes to registration requirements and annual updates. With the recent passing of the March 31st SEC deadline for annual amendments to a firm’s Form … Read More
They’re Coming – Preparing for Your Next Regulatory Examination
January 1, 2009
by
Michelle Jacko
Jan. 2009
The Importance of E-Mail Controls
December 1, 2008
by
Michelle Jacko
Dec. 2008
Hedge Fund Best Practices
June 1, 2008
by
Michelle Jacko
June 2008
Newly Proposed Changes to Regulation S-P
May 1, 2008
by
Michelle Jacko
May 2008
Approaching the Heightened Standards in Offering Investment Tools to Service Members
December 1, 2007
by
Michelle Jacko
Dec. 2007
Explanation and Assessment of the Newly Proposed Uniform Privacy Policy
October 1, 2007
by
Michelle Jacko
Oct. 2007
