Excellent article in today’s Wall Street Journal about how small hedge fund managers could bear the brunt of regulations spawned by the financial crisis. Registered investment advisers who have struggled with compliance for years are sure to have little sympathy for … Continued
Dear Compliance Professional, This past Friday (November 19th), the SEC proposed new rules to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). This brief Compliance Alert addresses one aspect of those proposed rule changes … Continued
Dear Compliance Professional, Big doings are certainly afoot in the regulatory world. Did I say big? These “doings” are of gargantuan proportions – earth shattering, paradigm shifting, game changing doings that will affect every financial services firm including all SEC … Continued