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Compliance Best Practices

After a few weeks of a new administration and US Congress, in which a major antitrust reform bill was introduced, Bob Ackerman of AllegisCyber and ...
Private funds hoping to court pension plan managers can use indirect measures as a proxy for daily valuations, a new white paper from Washington trade ...
A New York hedge fund adviser has suspended its founder and will liquidate its biggest fund after the SEC accused the man of “adjusting” swaps ...
Ask your reps to attest that they provided you with accurate information
A peer shares a checklist that can guide you on what you need to do before someone is hired
This client alert presents a brief outline of the final rule, as well as a discussion of certain key questions and compliance considerations introduced by ...
RCW has obtained a new DOE document request letter proving opportunity zone investments have attracted examiner interest
Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...
Attorney Michael Caccese lays out a plan for getting ready for the SEC's new IA ad rule. Video runs 8:21
Rob Tull of Path2 Relationships passes on some stress-reducing tips to help you excel at problem-solving
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