CFTC Enforcement

Much has happened in nearly one since since the Dodd-Frank Act became effective, and much more remains.  According to the recent thoughts of one commentator, Kyle Colona of Compliance EX

Continue Reading Dodd-Frank; Is It Doomed To Fail?

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

Late last week, one of my colleagues sent me an e-mail where he copied 8 other people, half of them I could not identify if my life depended upon it.  I then

Continue Reading PSST!!! Want to Save Money on Your Legal Bills? Read on. . .