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Dodd Frank

18 Apr 2011

Small Hedge Funds Bear Brunt of Dodd Frank

by Scott | posted in: Private Investment Funds | 0

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

Dodd Frank
1 Nov 2010

Compliance Alert! SEC Transition Rules

by Scott | posted in: Alert!, Registration & Licensing | 0

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

Dodd Frank, Registration, SEC
21 Jul 2010

Compliance Alert! New Regulatory Initiatives

by Scott | posted in: Alert!, Brochure & Brochure Supplements | 0

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

ADV Part 2A, Dodd Frank, Registration

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