Compliance Considerations in an RIA Merger or Acquisition
February 18 2020
February 18, 2020
Compliance Training: A Marathon Without a Finish Line
February 2020
February 10, 2020
Tags: Columns, Compliance, Compliance Training, Guest Column
A Primer on the Difference Between Cyber and Financial Institution Fidelity Bond Insurance Policies
February 2020 2
February 10, 2020
Tags: Columns, Cybersecurity, Guest Column, Insurance
SECURE Act Issues for Investment Advisers
January 2020
January 27, 2020
Tags: Columns, Guest Column, Retirement Plans, SECURE Act
Private Fund Advisers and the Proposed Changes to the Advertising Rule
Benjamin Haskin, Partner, Willkie Richard Jackson, Counsel, Willkie The Securities and Exchange Commission (the “SEC”) has proposed amendments to Rule 206(4)-1 (the “Advertising Rule”) under the Investment Advisers Act...
January 01, 2020
Tags: Advertising, Advertising Rule, Columns, Compliance Corner, Hedge Funds, Private Equity, Private Funds
2020 Policy Outlook: Looking Ahead Requires Looking Back
Karen Barr IAA President & CEO The IAA is proud to have advanced the interests of the investment adviser community in 2019 – with the strong support and involvement...
January 01, 2020
Tags: Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI
Intricate Merchandise – Challenges of Advertising Investment Advice
December 2019
December 01, 2019
Tags: Advertising Rule, Columns, Guest Column
New Case Shows Revenue Sharing a Top SEC Target
September 2019
September 01, 2019
Tags: Columns, From the General Counsel, Gail Bernstein, Share Class Disclosure