Today February 7, 2018, the SEC released its Examination Priorities for 2018. Their focus this year is the retail investor. Prior areas of focus have been subcategorized under the larger retail market. Those include: electronic investment advice, fixed income execution, mutual funds and ETFs, never examined registered investment advisors, wrap accounts and municipal advisors and […]
Please follow this link for a Client Alert I wrote dealing with the JOBS Act and Research.
If you had asked me a year ago if crowd investing would ever become law I would have told you absolutely not. There was no way Congress, which had been so hard on the regulators for allowing the Madoff disaster, would open the floodgate for all sorts of fraudulent activity. Never would Congress fall for […]
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 […]