Jan 13 2017
The SEC announces its 2017 examination priorities

Attention to those in the financial industry, particularly, Broker/Dealers, Investment Advisers and Firms involved with Pension Funds and Seniors; OCIE…

LEARN MORE
Dec 18 2015
Anti-money laundering (AML) requirements for Investment Advisers – what you need to know

The United States Treasury, through its Financial Crimes Enforcement Network (FinCEN) has gone beyond publishing its notice of proposed rulemaking…

LEARN MORE

Talk with our award-winning team