Understanding the Regulatory Impact of COVID-19 The COVID-19 pandemic has brought unprecedented circumstances to the financial services industry... READ MORE
An Overview of Regulation Best Interest On June 5, 2019, the SEC announced new rules and interpretations clarifying required standards of... READ MORE
U.S. Department of Justice's New Guidance Centers on Three Questions The DOJ has served notice it will require clear answers to these three questions during future... READ MORE
2018 Compliance Roundup - The Naughty List “He’s making a list and checking it twice. . .” As part of our end of year wrap up, we present to... READ MORE
The SEC's 5 most Common Compliance Deficiencies To assist and prepare SEC registered investment advisers for exams, The SEC’s Office of Compliance... READ MORE
SEC 2017 Exam Priorities Summary The SEC’s Office of Compliance Inspections and Examinations (OCIE) has released its 2017... READ MORE
