Columns

Expert Advice

The Department of Labor’s new fiduciary rule will partially go into effect on June 9 while the

06.08.17

From the SEC’s website: “The Securities and Exchange Commission has five Commissioners who are

05.04.17

On Feb. 7, the Securities and Exchange Commission’s Office of Compliance Inspections and

04.06.17

No Action Letter On SLOAs & Custody On Feb. 21, the SEC Division of Investment Management issued a

03.01.17

There are a few surprise changes from the 2016 list of examination priorities. Newly-identified

02.02.17

With 2016 in the rearview mirror, I would like to spend a little time talking about the SEC’s

01.05.17

By Dan Sondhelm, Sondhelm Partners If you were too busy eating turkey or wrapping (and unwrapping)

01.05.17

Manager-of-manager platforms play an important role in the emerging manager ecosystem for both

12.08.16

While I was reviewing the amended Form ADV that will be required to be used for every filing after

11.03.16

I want to briefly discuss a topic about which questions have arisen in the last couple of months

10.06.16