Updates to Form CRS in 2020 (Part 1)
The SEC released updates to Form CRS in 2020 with [...]
19
01, 2021
4
11, 2020
Investment Advisers Act: Know the Rules or Pay the Price
Knowing firm requirements as set forth in the Investment Advisers [...]
27
05, 2020
Regulation Best Interest: Examination Focus Areas
Last month, the SEC’s Office of Compliance Inspections and Examinations [...]
13
09, 2019
Principal and Agency Cross Trading
Investment Adviser Principal and Agency Cross Trading practices was the [...]
30
08, 2019
Regulation Best Interest and CRS Relationship Summary
In June, the U.S. Securities and Exchange Commission (SEC) passed [...]
20
08, 2019
Custody of Cryptocurrency: Considerations for Broker-Dealers
It is evident that the U.S. Securities and Exchange Commission [...]
11
02, 2019
Custody for Private Fund Advisers
If you are a private fund adviser (i.e. hedge fund [...]
7
11, 2018
SEC Adopts Amendments to Rule 15c2-12 to Improve Municipal Securities Disclosure
In August 2018, the U.S. Securities and Exchange Commission (the [...]
24
10, 2018
How to Register as an RIA: Rule 203 A-2(c)
As you may remember from our earlier blogs on registered [...]
22
10, 2018
Guidance on Third-Party Recordkeeping Services and SEA Rule 17a-4
As you may remember from our earlier post on the [...]