Quarterly Round-Up- Q1 2012

2012 is moving quickly and the first quarter has drawn to a close. Here’s a round-up of key regulatory news and compliance dates which occurred in Q1 2012, as well... [...]

The final rule is designed to help clients understand the fees that are being charged so they determine whether they are reasonable. It’s your job to meet these new disclosure... [...]

As the first quarter of 2012 winds down, is your firms’ compliance house in order? Do you feel prepared to meet your compliance obligations or do you find yourself putting... [...]

Massachusetts enacted 201 CMR 17.00: Standards for the Protection of Personal Information of Residents of the Commonwealth, new regulation regarding the safeguarding of Massachusetts residents personal information, in 2009 with... [...]

The U.S. Securities and Exchange Commission (“SEC”) has modified the rules used to determine whether an individual is qualified as an accredited investor. To qualify as an “accredited investor” an... [...]

In 2006 when the SEC implemented Rule 206(4)-7 of the Investment Advisers Act, the “Compliance Rule”, we all knew it was only a matter of time before the deficiencies resulting... [...]