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People Over Profits: How M&A Can Affect the Employee Experience

March 29, 2023 by

M&A can have a significant impact on the employee experience, and it is essential for companies to take steps to mitigate the negative effects. By being transparent and involving employees in the process, companies can create a more positive and productive work environment for everyone involved.… Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Red Flags: How to Prepare Your Team for an SEC Visit

March 31, 2022 by

The financial securities industry has an ever-changing regulatory environment. That’s why it’s critical that advisors are proactive about keeping up with the latest regulations, anticipating their implications for real-world scenarios, and understanding how to meet the expectations of the U.S. … Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Regulatory Examinations & Enforcement Counsel

Additional Document Production: Key Elements to the Secondary Request

March 24, 2022 by

One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More

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