A guide to conducting an annual compliance review from William Edick, a partner at Pickard & Djinis in Washington.
Investment Advisers Act of 1940 — Rules 204-2(a), (b) and (g) Omgeo LLC August 14, 2009 RESPONSE OF THE OFFICE OF CHIEF ...
An example of a compliance calendar to help you build efficiencies into your program, courtesy of Krista Zipfel, CEO & President of the Advisor Solutions ...
No-Action Letter: General Electric Company (August 12, 2009) Investment Advisers Act of 1940 — Rule 206(4)-3 General Electric Company August 12, 2009 RESPONSE OF THE ...
It's happened before but the new waiver of investment advisory fees for new filings and annual Form ADV updates until next year comes at a ...
If you didn't closely scrutinize the House's bill on executive compensation, you may have missed that it would cover investment advisers.The bill passed last month ...
Details have finally emerged on the changes Director Robert Khuzami has made to the Enforcement Division he heads. These include the establishment of five specialized ...
More than 850 people sent off comments to the SEC in response to the agency's proposed custody rule (IA Week, May 25, 2009), but agency ...
No promises were spoken, but some members of The Committee for the Fiduciary Standard left encouraged after an audience last month with two SEC commissioners ...
Reg S-AM has been six years in the making. The SEC last week released the final rule stemming from a revision in 2003 to the ...