Succession Planning

Stating that it’s answering questions it has long received, the SEC’s Division of Investment Management has released new guidance geared to helping advisers understand when ...

Odds are you have only months before the SEC will mandate that you must have a written transition plan. Many advisers lack them. Listen to ...

Open up any SEC proposed or final rule and you’ll find the actual rule in the back. But the lead up to the formal regulatory ...

Look for recommendations related to funds’ use of derivatives to be advanced by the SEC by year-end. In a Sept. 29 address in celebration of ...

The Investment Advisers Act of 1940Section 203 -- Registration of Investment AdvisersNecessity of registration. Except as provided in subsection (b) and Section 203A, it shall ...

With the average age of an owner of an investment advisory firm edging toward the big 6-0, Matt Cooper wanted to get the word out ...

Firms can have a host of reasons to sell ownership shares or place them in a trust, from succession planning to welcoming a new partner. ...

The tough economy has claimed its share of casualties and some advisory firms are among them. The fiduciary duty inherent in the profession binds firms ...

It began over lunch last May. David Bottoms, founder of Oaktree Asset Management, an RIA in New York, invited Peter Raimondi, president & CEO of ...

    Securities Exchange Act of 1934 Section 14 and Rule 14a-8(i)(7) American Capital, Ltd. February 5, 2009 Cydonii V. Fairfax Two Bethesda Metro Center, ...