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for one year and Kaeser will be unable to represent an SEC-regulated entity for one year. Lesser will be suspended from providing accounting services on behalf of an entity regulated…

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On April 20, 2015, the Securities and Exchange Commission (“SEC”) issued an order against an investment advisory firm and its former chief compliance officer, for violating Sections 206(2) and…

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new exemption will be a necessary condition for continuing many of the compensation practices currently in use by the investment industry. We expect to issue a Client Alert on the…

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draws on the experience of other practices that enhance the depth and scope of our services to clients. The IFIM group now comprises more than two-dozen business and litigation attorneys…

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person acting as agent, is prohibited from receiving any compensation, outside of regular salary or wages, for the purchase or sale of any property to or for the registered company…

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The Securities and Exchange Commission (“SEC”) issued a cease-and-desist order on February 19, 2015 against SEC-registered Logical Wealth Management, Inc. and owner, Daniel J. Gopen, (together, “Respondents”).  The list…

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please click HERE. If you or your compliance officer is handling your Form ADV filing and you would like us to review your drafts, please feel free to contact us…

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interest for a profit of approximately $744,000. In the eyes of the SEC, trading on material nonpublic information learned from a third party is no different from trading on information…

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observed high rates of deficiencies. In addition to examining proxy advisory service firms, OCIE will also look at investment advisers’ compliance with their fiduciary duty to vote proxies on their…

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Certain Commodity Futures Trading Commission (CFTC) exemptions require annual affirmation, including CPO exemptions under Regulation 4.5, 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), and 4.13(a)(5) and CTA exemptions under Regulation 4.14(a)(8). If you…