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Expert Advice

UNCLE! In prior articles, I have addressed two recently proposed rules that will impact

09.10.15

Rule 204A-1, Investment Adviser Codes of Ethics (the “Rule”), with a compliance date of January 7,

08.06.15

Those who know me know that I can be passionate about many things, one of the chief among them

07.02.15

I have three topics that I would like to briefly discuss: Proposed Rule Amendments On May 20th, the

06.04.15

I actually have three topics that I would like to touch on, the Department of Labor Proposed

05.07.15

Last week, I found twenty-four articles about setting a “fiduciary standard,” many from different

04.02.15

In my last article, I talked about the SEC’s Examination Priorities for 2015. Today, I want to talk

03.05.15

On January 13, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its

02.05.15

Cybersecurity has become one of the hottest topics in the asset management industry. The Securities

02.05.15

I would like to address some of the Securities and Exchange Commission’s upcoming priorities and

01.08.15