Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer  By […]

Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head […]

Spotlight On Talent: Dan Dorsky, Principal and Head of Anti-Corruption and Ethics These are fascinating […]

COMPLIANCE BULLETIN: OUT WITH THE OLD...IN WITH THE NEW Spotlight On Talent: Lilian Colpas, Senior […]

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most […]

COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Spotlight On Talent: David Amster, Principal and Head of Fund […]

The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered […]

YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For […]

Recent SEC enforcement actions have increased focus on how well advisers and boards of registered and unregistered investment companies provide compliance oversight. Download the Investment Adviser Bulletin and stay up to date with the regulatory landscape. This month Valerie Lewis examines four examples that touch on best execution practices and disclosures, valuation of securities, and oversight of sub-advisers.

Public companies should determine the best way to embrace and utilize social media –The Social Media Governance for Public Companies Bulletin provides recommendations for guidance and ongoing training in regard to your company's Next Generation Social Media Policy.