Read Legal Risk Management Tips

• Private Fund Regulation: SEC Examination and Enforcement Hot Topics - Part 2

• Private Fund Regulation: SEC Examination and Enforcement Hot Topics - Part 1

• SEC Adopts Form PF to Help Monitor Systemic Risk

• How New Rule 13H-1 Affects Investment Advisers and Broker-Dealers

• The Effect of Noncompetition and Non-Solicitation Agreements in California

• New Disclosure Obligations For Service Providers to ERISA Plans

• FINRA Rule 5131 – How It Impacts Broker-Dealers and Private Funds

• SEC Adopts Rules Which Overhaul the Investment Adviser Regulatory Framework

• In the Spotlight: California and New York City-New Regulations Governing Solicitation of Public Pensions Funds

• Ongoing SEC Focus: Regulation S-P and Consumer Privacy

• The SEC Issues Responses to Form ADV Part 2 and Pay-to-Play Rule Frequently Asked Questions

• SEC Proposes Significant Reporting Requirements for Investment Advisers to Private Funds

• Know Your Customer and Suitability

• SEC Proposes New Exemptions for Advisers to Venture Capital Funds

• DOL Proposes Expansive New Definition of Fiduciary Under ERISA

• SEC Proposes Say-On-Pay Regulation and its Impact to Institutional Investment Managers

• Developing Internal Reporting Mechanisms in the Wake of the Whistleblower Incentive Program

• Practical Considerations for Fund Managers

• Investment Advisers and Managers Beware: Initial Impacts of the Financial Reform Act

• Post Madoff Regulatory Exams - Survival of the Compliance Fittest

• SEC and CFTC Respond to the Market Disruption

• Best Practices for the Due Diligence Process

• Benefits of Outsourcing General Counsel 

• Amendments to the Custody Rule 

• Regulation of Financial Planners 

• The Evolving World of Compliance  

• Fundamentals to Recommending Private Equity Fund Investments 

• Obama Financial Reform in the Securities Market

• Hedge Fund Legislation - Further Proposals 

• Proposed Taxation of Offshore Investments 

• Gifts, Gratuities, Entertainment and Other Forms of Influence and Reward 

• New Form D Requirements Effective 

• CA agencies come together to suspend non-complaint LLCs

• Looking Ahead - Red Flags Rule

• Regulators React to Growth in Retail Forex Activities

• SEC Announces New SAR Alert Message Line and AML Source Tool for Mutual Funds

• Creating and Managing Offshore Funds

• Form ADV Part 2 Proposal 

• Newly Proposed Changes to Regulation S-P

• Metadata - Hidden Electronic Information with Hidden Risks
  
  

Publications

• Journal of Securities Law, Regulation & Compliance, Volume 3, Number 3, July 2010 - Understanding the Potential and Limits of Investment Adviser Advertising

• Privacy Best Practices and Updates on Regulation S-P

• The Private Fund Investment Advisers Registration Act of 2009 (NSCP) Currents

• Privacy Protections Required by Securities Firms - Securities Compliance Journal

• Code of Ethics for the Compliance Professional - National Society of Compliance Professionals (NSCP)

• Investment Adviser Compliance Programs: What CCOs Learned in the First 18-Months - National Society of Compliance Professionals (NSCP) Currents

• IARD Conversion Q&A - National Society of Compliance Professionals (NSCP) Currents