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Expert Advice

Required Third-Party Reviews?! At What Cost? On October 23, 2015, David Grim, the Director of the

12.03.15

Does this sound familiar? I began my career at a global multi-product institutional investment

11.05.15

On Oct. 14, Buddy Donohue, a former director of the Securities and Exchange Commission’s Division

11.05.15

Background In January 2014, the National Examination Program (“NEP”) identified the examination

10.08.15

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