Jaqueline Hummel, Partner and Managing Director, will be attending the 2018 NSCP National Conference in Atlanta, Georgia from Monday, October 29 through Wednesday, October 31 at the OMNI Atlanta Hotel…

Jaqueline Hummel, Partner and Managing Director, and Carolyn Mendelson, Senior Compliance Consultant will be attending the 2018 Ohio Securities Conference on October 26, 2018, at the Westin Great Southern Columbus…

Fellow Compliance Professionals! Today is Compliance Officer Day, which was started by SAI Global in 2016.  Take some time to pat yourself on the back for your often unacknowledged role…

FINRA has implemented several new registration and designation requirements that member firms will need to address on October 1.  See FINRA Regulatory Notice 17-30. The To-do List includes the following,…

The Cayman Islands Monetary Authority (“CIMA”) made a number of key changes to its anti-money laundering (“AML”) regulations in 2018 (the “AML Regulations”) including expanding their reach to unregulated entities,…

As of July 1, 2018, companies and limited liability companies incorporated or registered in the Cayman Islands are required to maintain a beneficial ownership register at their Cayman Islands-registered offices…

The headlines have been heralding the demise of the Department of Labor’s (DOL) Fiduciary Rule.  But what does it really mean? Let’s look at what happened.  On March 15, 2018,…

On April 6, 2018, the SEC released three settlement orders with investment advisers because they “failed to disclose conflicts of interest and violated their duty to seek best execution by…

On February 12, 2018, the SEC Division of Enforcement announced a new self-reporting initiative – the Share Class Selection Disclosure (the “SCSD Initiative”).  The Initiative, led by the Commission’s Asset…

Working through the Form ADV update has been especially challenging this year for many investment advisers.  Aside from the traditionally confusing questions, the Form has been updated to include some…