Category: Uncategorized

Written by Sharon M. Davison

I Miss All the Fun

Earlier this week I told investment advisers CCOs not to lose sleep. I suggested that during this 45 day period until registration you should systematically review your compliance and supervisory policies and procedures. I missed the fun yesterday.  Yesterday at the Investment Adviser Association Investment Adviser Compliance Conference Robert Plaze, Deputy Director of the SEC Division of Investment Management warned […]

Written by Sharon M. Davison

HAPPY NEW YEAR!

Davison-LawBlog wishes you a Happy New Year. This is going to be an interesting year in the financial services/capital markets world. New regulatory rules will keep us busy as well as watching the presidential elections. I am looking forward to settling into my new position as Of Counsel at Richardson & Patel and continuing to […]