September 29, 2017

FINRA Imposes $13 Million Sanction for Failure to Supervise UIT Sales

Continue reading...

September 27, 2017

SEC’s Division of Investment Management Extends Limited “Loan Rule” Relief

Continue reading...

September 21, 2017

SEC Issues Risk Alert on the Most Frequently Identified Advertising Rule Compliance Issues

Continue reading...

September 15, 2017

The Seward & Kissel 2016/2017 Hedge Fund Side Letter Study

Continue reading...

September 7, 2017

CFTC Considers Virtual Currency Derivatives to be Commodity Interests

Continue reading...

September 5, 2017

DOL Extends the Advice Fiduciary Rule’s Transition Period

Continue reading...

August 30, 2017

Updates on the Section 385 Regulations

Continue reading...

August 30, 2017

IRS Releases 871(m) Guidance, Extends Phase-In of 871(m) Rules – August 2017

Continue reading...

August 29, 2017

The Second Circuit Upholds former SAC Capital Manager’s Conviction and Expands the Supreme Court’s Personal Benefit Rule

Continue reading...

August 25, 2017

Considerations Presented By Amended Form ADV Effective October 1, 2017

Continue reading...

August 23, 2017

August 2017 Compliance Flash

Continue reading...

August 10, 2017

SEC Risk Alert urges broker-dealers, investment advisers, and investment companies to improve cybersecurity

Continue reading...

August 3, 2017

FATCA and CRS News Alerts – August 2017

Continue reading...

August 3, 2017

Partner Rob Van Grover authored an article in the Journal of Investment Compliance titled, “Pay to Play Violations: An SEC Focus.”

Continue reading...

July 27, 2017

SEC Speaks Out on ICOs, Cautions That Some May Involve Offering of Unregistered Securities

Continue reading...

Menu