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The Securities and Exchange Commission recently issued a cease and desist order and fine against Forcerank, LLC for its violation of Dodd-Frank restrictions surrounding security-based swaps. Forcerank developed software which…
Ronak Patel and Toby Galloway, both partners with Kelly Hart & Hallman LLP, recently did a deep dive into the enforcement action results of 2016. Their article, “Securities Enforcement Actions…
As the population ages in the United States, service providers in the financial industry will be forced to grapple with various challenges. Members of the financial industry must understand the…
Recently we wrote a blog regarding the SEC Amendments to Form ADV. In the blog, we touched on the ADV changes regarding Separately Managed Accounts, Private Fund Adviser Entities, and…
Attorney-client privilege protects confidential communications between clients and attorneys for the purpose of rendering or obtaining legal advice. The privilege provides an avenue for clients to consult with legal counsel…
The Securities and Exchange Commission (“SEC”) is adopting amendments to Form ADV that are designed to provide additional information regarding advisers, including information about their separately managed account business, incorporate…
Most individuals that have been in the financial services industry for any amount of time are aware that there is a requirement to register with a regulatory body in order…
You might have noticed that political contributions and pay-to-play (PTP) has been a passionately debated topic this election cycle. Now is a great time to review and possibly update your…
About one week ago, the Board of Governors of the Federal Reserve System issued an order to cease and desist and an order of an assessment of civil money penalty…
Timely and accurate disclosure of a company’s policies and procedures is essential in business especially when the company manages the assets of others. For Registered Investment Advisory (RIA) firms, that…
There seems to be quite a bit of confusion in the investment adviser community when it comes to wrap fee programs. In a nutshell, a wrap fee program is exactly…
In May, FINRA published a cybersecurity checklist in an effort to aid small firms in creating a cybersecurity program. The checklist can be tailored to a firm’s business model. Cybersecurity…
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