Michelle to Speak at Schwab IMPACT 2024
Michelle to speak at Schwab IMPACT 2024!… Read More
Michelle to speak at Schwab IMPACT 2024!… Read More
Would an adviser have to register in every single state in which they serve clients? In 2002, the U.S. Securities and Exchange Commission (SEC) responded to that issue by establishing the Internet Adviser Exemption Rule. On March 27, 2024, the SEC issued an amendment to the internet adviser rule to meet the advancements and saturation of technologies and to outline what it meant to offer investment advisory services online in today’s market. Another reason for amending the exemption was the concerning number of firms that were not meeting their compliance requirements.… Read More
On June 5, 2024, the Fifth Circuit Court of Appeals overturned the SEC’s New Private Fund Rules introduced in August 2023 (the “Private Fund Rules”). Given that the Private Fund Rules imposed several limitations and prohibitions that ran counter to the fundamental principles of a private fund, this was a significant victory for private fund advisers.… Read More
Broker-dealers seeking to transition to the independent business model – either as a hybrid (where they would remain associated with a broker-dealer) or fully independent (at an RIA-only firm) hesitate due to several key considerations.… Read More
Investment Advisers continue to face the risk of penalties for non-compliance for adhering to the SEC rule of documenting all business communications regardless of the medium of communication.… Read More
Investment advisers considering the use of a Special Purpose Acquisition Company (SPAC) as part of their merger and acquisition strategy must take into account the myriad of regulatory obligations that come with a SPAC M&A.… Read More
As an Investment Adviser, it is important to balance the needs and best interests of the clients with that of the firm. We believe that this aligns with mitigating the risks for both clients and the advisory business.… Read More
As Q1 closes out, we continue to pay attention to the regulatory forecast for the rest of the year. As advisers continue to focus on their clients, they must also pay attention, as many rules are poised to be introduced this spring and fall. … Read More
Advisers with fiscal year end of December 31 have until March 30 to file their Form ADV. With the deadline looming, here are six last-minute tips to help you file accurately and on time.… Read More
The Securities and Exchange Commission (SEC) ended 2023 with a bang, with over 780 enforcement actions and nearly $5 billion in financial remedies. With 25 new SEC rules scheduled to pass this spring and fall, those in the investment advisory space are well-advised to approach 2024 with a renewed commitment to optimizing their compliance program.… Read More