Latest risk management updates

Creating A Strong Culture of Compliance

Every registered investment adviser and employees of the adviser have a fiduciary duty to put their clients’ interests ahead of their own. The Securities and Exchange Commission (“SEC”) has often emphasized that the key to a successful compliance program is having a strong culture of compliance...

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Latest risk management updates

Best Execution Considerations for Investment Advisers

Every registered investment adviser has a fiduciary duty to seek best execution when placing transactions for clients.  In addition to seeking best execution, the Securities and Exchange Commission (“SEC”) has issued a variety of guidance stating that advisory firms must also perform and document...

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Regulatory Pitfalls Regarding Fee Based Accounts

April 24, 2015

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2015 Solutions for Compliance Professionals

March 19, 2015

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Form ADV - Important Things You Need To Know About Updates

February 19, 2015

February 2015

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Valuation - What Investment Advisers Should Know

January 21, 2015

January 2015

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The Dangers of Recidivist Deficiencies and the SEC's Compliance Program Initiative

December 23, 2014

December 2014 "In the past few years, the Securities and Exchange Commission (“SEC”) has taken a tougher stance against recidivist behavior by registered investment advisory firms (“RIAs”). Recidivism refers to occurrences where an RIA has not corrected deficiencies noted in previous regulatory...

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Year-End Planning for Gifts and Entertainment

November 21, 2014

November 2014

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Compliance End-Of-Year Checklist Update

November 18, 2014

October 2014

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Proxy Voting Considerations for Using Third-Party Vendors

November 18, 2014

September 2014

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Compliance Considerations for Advisers and Sub-Advisers of Mutual Funds

August 21, 2014

August 2014

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The Importance of Performing a Risk Assessment

July 24, 2014

July 2014

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Soft Dollars and Disclosure

June 26, 2014

June 2014

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Cybersecurity - Important Considerations for IAs and BDs

May 27, 2014

May 2014

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