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Expert Advice

I am often asked about the deficiencies that are most frequently identified by the SEC examination

09.08.16

The traditional approach to investment management marketing relies on leveraging existing

09.08.16

A question I hear frequently is, “When will the SEC bring the Advisers Act into the 21st Century?”

08.04.16

Regardless of the sector, industry, or market niche, the world is growing ever-more reliant on

08.04.16

Really? A Business Continuity Rule? On Dec. 17, 2003, the Securities and Exchange Commission hit

07.07.16

I’ve looked at a lot of pitchbooks in my career. Most are professional, highly serviceable pieces

07.07.16

By Daniel Quinn President, DQCOMM Investment management firms, irrespective of their market niche,

06.02.16

Enough Regulation Already! The Securities and Exchange Commission is still trying to move forward

06.02.16

Let’s get this out of the way early: Yes, a thoughtful, well-planned, and professionally-executed

05.05.16

What’s Hot, What’s Not The question that I am asked most often is, “What are the SEC’s current hot

05.05.16