Posts from March 2018.

When the SEC released its list of exam priorities for 2018, no one was surprised to learn that one of last year's themes concerning the protection of retail investors (and by extension, aging investors) continues into 2018. To quote the...

For private equity advisers, how to market a private equity fund in compliance with SEC rules should be a major focus area. Unlike hedge funds (which are usually evergreen), private equity funds have finite investment period and lifespans, and fund...

When you're faced with the SEC or a FINRA hearing, whether in court, an arbitration, or a hearing due to regulatory action being taken against you or your firm, you'll probably be considering bringing on an expert witness to...

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