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I Want To Know More About...

Even Lawyers Have to Worry About Cybersecurity: Best Practices from PLI Program

I recently participated in a PLI Program on Cybersecurity Best Practices for Legal Service Providers 2018. While the…

by Jane Shahmanesh

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Master The New ADV With An Easy Checklist

As you may know, as of October 1, 2017, the SEC’s amendments to Form ADV became effective. These changes require more disclosures from investment advisers and will help the…

by Patty T

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Year-End Compliance Check

Has your firm has met its compliance obligations for the year? December is typically a busy month for Registered Investment Advisers (“RIAs”) to wrap up priorities and plan for…

by Patty T

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Would Your Social Media Activities Pass Regulatory Scrutiny?

Registered Investment Advisers (“RIAs”) know there are lots of benefits in using social media to grow their business. How else can you reach existing clients or get qualified leads…

by Patty T

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Advertising Do’s and Don’ts

Are you comfortable with your advertising practices? If they’re not on your radar, you may want to reconsider. The Securities and Exchange Commission’s (the “SEC”) Office of Compliance Inspections and…

by Patty T

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What to do if your firm gets hacked – and how to prevent it?

You had a nightmare last night. It involved a call from your Information Technology (IT) department informing you they just got notice of a major cyber-attack against your firm….

by Patty T

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ADV Annual Update

When do I need to update my ADV? 

ANNUAL UPDATE 

Everyone knows that subsequent to initial registration, Form ADV gets updated annually by the end of March of each year for…

by Saleemah Ahamed

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Preparing for the Interview Part of the Exam

Overview of the On-Site Component of the Exam 

The primary purpose of an exam by OCIE is to ensure compliance, prevent fraud, monitor risk and inform policy.

by Saleemah Ahamed

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SEC Calls

What do you do when the SEC calls to notify you that you’re being audited?  (more…)

by Saleemah Ahamed

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You are Due:

Do you kind of know you are “due” for an SEC audit?

Have you been dodging dealing with this because your “day job” of running your firm gets in the…

by Saleemah Ahamed

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