CFTC Compliance

The SEC published a small entity compliance guide for investment advisers relating to the new Form PF.  These new reporting requirements affect SEC registered investment advisers with at least $150

Continue Reading SEC Issues guidelines for Form PF Reporting

Although the use of social media has been embraced by many industries, it is of particular concern for investment advisors and broker-dealers.

In many situations, the use of these outlets

Continue Reading Investment Advisors and Broker-Dealers Use of Social Media – Beware!!

My colleague, Josh Horn, has written an amazing article that should be on every compliance officer’s desk.  It details methods for investigating and responding to ponzi schemes. 

In this day

Continue Reading Josh Horn’s Ponzi Scheme Response Road Map

Thought you might be interested in a recent podcast I did concerning my securities law practice. Reading Securities Podcast with Ernest Badway