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SEC’s OCIE Announces Cybersecurity Examinations of Broker-Dealers and Registered Investment Advisers

By Steve Quinlivan on 04/16/2014

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SEC Investment Management Division Provides Social Media Guidance

By Steve Quinlivan on 03/31/2014

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SEC Private Equity Enforcement: Expenses, Distributions, Marketing and Custody

By Steve Quinlivan on 02/25/2014

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Never-Before Examined Registered Investment Advisers Targeted by SEC

By Steve Quinlivan on 02/20/2014

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SEC Says Registration as an Investment Adviser Not Necessary for 100% Owned Corporate Groups

By Jill Radloff on 02/18/2014

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MN Regulation of Investment Adviser Representatives

By David Jenson on 02/16/2014

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Guidance for Hedge Funds and Private Equity: Who Is a Knowledgeable Employee?

By Steve Quinlivan on 02/12/2014

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SEC Highlights Hedge Fund and Private Equity Concerns at Compliance Seminar

By Steve Quinlivan on 01/30/2014

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SEC Alert on Investment Advisors’ Due Diligence on Hedge Funds and Private Equity

By Steve Quinlivan on 01/28/2014

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SEC Exam Priorities Include Newly Registered Hedge Fund and Private Equity Advisors

By Jill Radloff on 01/11/2014

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