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Legal Risk Management Tips

Post Madoff Regulatory Exams – Survival Of The Compliance Fittest

June 29, 2010

Post Madoff Regulatory Exams – Survival Of The Compliance Fittest

Industry Publications

Understanding the Potential and Limits of Investment Adviser Advertising

June 5, 2010

Understanding the Potential and Limits of Investment Adviser Advertising

FINRA Broker-Dealer Regulatory Counsel

SEC And CFTC Respond To The Market Disruption

May 29, 2010

SEC And CFTC Respond To The Market Disruption

Annual Reviews & Risk Assessments

Best Practices For The Due Diligence Process

April 29, 2010

Best Practices For The Due Diligence Process

Legal Risk Management Tips

Benefits Of Outsourcing The General Counsel Role

February 1, 2010

Benefits Of Outsourcing The General Counsel Role

Investment Adviser Regulatory Counsel (SEC & State)

SEC Releases Significant Amendments To The Custody Rule (Rule 206(4)-2)

January 29, 2010

SEC Releases Significant Amendments To The Custody Rule (Rule 206(4)-2)