Continued Areas of Focus for Advisers & Funds in Light of the SEC's Recent Proposed Rule Withdrawals
A Practitioner's Guide for Preparing Annual Compliance Reports
Regulatory Considerations in Light of the Increased "Retailization" of Alts
A Compliance Practitioner’s Basic Guide for Navigating Cryptocurrency in Investment Management
8 Common Headaches & Practical Solutions for Form ADV Updates
Strategies & Practices for Managing SEC Exams
7 New Year’s Resolutions for 2025 (& Beyond)
A Biennial Retrospective on the Marketing Rule
A Reminder of Sound Trade Allocations Practices in Light of Recent SEC “Cherry Picking” Actions
A Data-Oriented Study of the SEC’s Electronic Communications Recordkeeping Enforcement Actions
The Use & Management of Outsourced Service Providers
Managing the Arrival, Risks, and Promise of AI in Investment Management
