Compliance Solutions for Investment Advisers

Monthly Archives: August 2011

Massachusetts Adopts New Regs

From the Massachusetts Securities Division: The Massachusetts Securities Division (the “Division”) is adopting, as amended from the original proposals, regulations found at 950 CMR 12.200 et. seq. (the “Regulations”). With the exception of 950 CMR 12.205(9)(c)(16), the adopted regulations shall become effective upon publication in the Massachusetts Register. The next publication of the Massachusetts Register

Compliance Alert! Special Concerns

Dear Compliance Professional, The Compliance Alert below was originally sent out in 2008. Unfortunately, recent market events make the subject matter relevant once again. We will also be sending out other pertinent Compliance Alerts from 2008-2009. Background The purpose of this compliance training material is to alert advisory personnel to special compliance considerations that may