Legal Risk Management Tips

Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules, and What Then? (Part 1)
02.2021Michelle L. Jacko, Esq.
Employment Law Changes For 2021
01.26.2021Jennifer R. Trowbridge. Esq. and Rachel C. Edwards, Esq.
2020 SEC Enforcement Cases and Guidance: A Year in Review
12.15.2020Rachel C. Edwards, Esq.
Why Advisory Fees and Expenses Remain a Continued Regulatory Focus
11.18.2020Michelle L. Jacko, Esq.
How to Protect Your Company’s Brand
10.27.2020Rachel C. Edwards, Esq.
Nine Considerations for Mergers and Acquisitions
09.25.2020Jennifer R. Trowbridge. Esq.
What Transitioning Advisors Need to Know About Broker Protocol
08.26.2020Robert D. Conca, Esq.
How to Improve Your Compliance Program
07.29.2020Michelle L. Jacko, Esq.
Seven Options for Investment Adviser and Investment Company COVID-19 Relief
06.26.2020Jennifer R. Trowbridge, Esq.
The Importance of Succession Planning
05.29.2020Michelle L. Jacko, Esq.
Cybersecurity Considerations in the COVID-19 Era
04.28.2020Robert D. Conca
Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs
03.20.2020Michelle L. Jacko, Esq.
Considerations for 2020 and Focus on the SEC Exam Priorities
02.28.2020