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Expert Advice

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The Proposed Fiduciary Rule & Other Thoughts
I actually have three topics that I would like to touch on, the Department of Labor Proposed
05.07.15
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A Fiduciary Rule, Finally?
Last week, I found twenty-four articles about setting a “fiduciary standard,” many from different
04.02.15
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Perspective on 2015 SEC Commissioner Speeches
In my last article, I talked about the SEC’s Examination Priorities for 2015. Today, I want to talk
03.05.15
Columns
SEC Examination Priorities for 2015
On January 13, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its
02.05.15
Columns
Seven Principles for Managing Cybersecurity
Cybersecurity has become one of the hottest topics in the asset management industry. The Securities
02.05.15
Columns
What To Expect In 2015
I would like to address some of the Securities and Exchange Commission’s upcoming priorities and
01.08.15
Columns
2014 Regulatory Year-In-Review
Last week, the Securities and Exchange Commission issued its 2014 Agency Financial Report. Not
12.04.14
Columns
How A U.S. Firm Found Success Down Under
By Luke MacRedmond Milestream Australia’s mismatch of supply and demand for high quality
09.04.14
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Not Getting Noticed By A Fund-of-Funds Platform? By Nick Kinney
Many emerging managers (up to $2 billion in assets under management depending on style) use
08.07.14
Columns
Expert Advice: A Mid-Year Checkup On The Competitiveness of Your Fund’s Marketing
Earlier this year investment management consulting firm Casey, Quirk & Associates released its
07.03.13