The holidays provide the opportunity for us take a step back from the routine, remind ourselves of our priorities, and gain fresh perspective. Instead of
The effective date for the amended rules pertaining to the new ADV Form Part 2 is today, October 12th, 2010. Fortunately existing advisers have some
Since the adoption of the Private Fund Investment Advisers Registration Act of 2010 on July 21, 2010, we have only registered a handful of private
Our Guide to SEC Registration for Private Fund Investment Advisers is a comprehensive guide to the registration process and ongoing compliance requirements after registration. The
If your firm has never been examined by the Securities and Exchange Commission (“SEC”), your firm may now be shining a little brighter on the
As widely reported and commented upon, on April 16, 2010, the Securities and Exchange Commission (“SEC”) brought charges against Goldman, Sachs & Co. (“Goldman Sachs”)
The Securities and Exchange Commission (“Commission”) recently voted to amend Regulation SHO, the short selling rule under the Securities Exchange Act of 1934 (“the Rule”).
Recent comments by various members of the Securities and Exchange Commission (“SEC”), including its Chairman, Mary L. Schapiro, have pointed to a harmonization approach to
Tu·mul·tu·ous (adjective) marked by violent or overwhelming turbulence or upheaval. Imagine for a moment a European bullet train speeding at 250 km/hr along the Washington
2009 was a year of turmoil in the financial markets and the economy in general. With abuses and fraud making headlines and regulators being partly
