The SEC is Proposing a Modernization of the Framework for Fund Valuation Practices

This is huge news. We haven’t seen this addressed since 1970. The proposal reflects the vast changes that have taken place over the years. It also recognizes the important role that funds’ investment advisers may play and the expertise they may provide. This new rule is designed to explain how fund boards can satisfy their […]

Is your Cybersecurity Program Air Tight?

On January 27th 2020 the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued examination observations related to cybersecurity and operational resiliency practices taken by market participants.  OCIE observed a wide range of industry practices which included governance and risk management, access rights and controls, data loss prevention, mobile security, incident response […]

7 things advisers wish they knew BEFORE they decided to deal with the SEC

Have you been contacted by the SEC? Have you hired legal counsel to represent you? If not, one simple mistake could ruin your career. You can trust us when we say don’t go at this alone because we’ve seen others unknowingly get themselves into trouble with the SEC. They thought they were being asked to […]

Part 3: Expert Interview with Leila Shaver

Compliance in the Internet Age: Social Media & Digital Marketing Guidelines Part 3 of our Expert Interview with Leila Shaver, of My RIA Lawyer This post is part of the Expert Interview series, which showcases some of the smartest thinking in the financial services industry on issues that matter most to advisors. If you would like […]

Part 2: Expert Interview with Leila Shaver

Compliance in the Internet Age: Regulators and Compliance Consultants Part 2 of our Expert Interview with Leila Shaver, of My RIA Lawyer This post is part of the Expert Interview series, which showcases some of the smartest thinking in the financial services industry on issues that matter most to advisors. If you would like to suggest […]

The government shutdown and how it affects financial advisers.

It’s been all over the news- we are in the middle of a government shutdown. National parks are shut down, TSA agents are calling out sick in what is being called the “blue flu”, and government employees are out looking for temp jobs to pay bills until they can go back to their government jobs.  […]