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 […]

Whistleblowing–Are you prepared?

Tucked away in the Dodd-Frank Act is a new whistleblower provision. Under this provision an individual or group of individuals may collect awards of 10% to 30% of judgments or settlements with the SEC over $1 million. Not an insignificant amount of money. What do they have to do to get this reward? The whistleblower […]