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SEC, FINRA Crack Down on “Duty of Care” Violations

August 28, 2024 by

Enforcement actions are once again on the rise. The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are cracking down on violations of “Duty of Care” highlighting the importance of making sure your clients’ best interests are always top of mind.… Read More

Blog | Corporate & Business Formation | Corporate Counsel | Formation Services | Investment Advisers | Investment Companies | Mergers & Acquisitions | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Are you a Prime Target for SEC EXAMS? Determining your Risk Quotient and How to Prepare.

August 15, 2024 by

A common question that investment advisers often wonder is: When is the next time the U.S. Securities and Exchange Commission (“SEC”) will examine me?

The answer to this often lies in the risk quotient tied to the firm.

When the last time the adviser was examined, new products and service offerings, and tips, referrals and complaints all factor into this. The SEC has a risk-based approach to determining when advisers should be examined which also can be driven by new rules and resources available to the SEC staff to conduct registrant examinations.… Read More

Blog | Corporate & Business Formation | Corporate Counsel | Formation Services | Investment Advisers | Investment Companies | Mergers & Acquisitions | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Considerations for Mergers and Acquisitions in the AI Space

August 5, 2024 by

Contrary to analysts’ predictions, mergers and acquisitions (M&As) did not surge as expected in the first part of the year. However, there is one area that continues to see high activity: M&As in the AI sector. Reuters reported a 42% spike in M&A transactions in technology in the first quarter of 2024, bringing in the largest share of M&A deals in that time period.… Read More