Dear Compliance Professional, As a result of the many SEC audits we have participated in over the past few months, we have begun to get a clearer picture of what concerns the SEC most these days. While it is safe … Continued
On March 18, 2011, the SEC issued “Staff Responses to Questions About Part 2 of Form ADV.” Putting aside for the moment that the SEC waited until 13 days before the deadline to post this helpful material, there are a … 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