Posts in Investment Adviser Law
Does the SEC Expect Investment Advisers to Make a Sweeping Compliance Upgrade?

The SEC thinks that it “clarified” Reg BI when it published a new 42-page interpretation. But to us, it looks like investment advisers may need to make a wholesale upgrade of compliance programs. Read more…

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Customize your IA Compliance Program: SEC Stresses Specific Risks

New Guidance from OICE encourages changes to Investment Advisers’ compliance programs to address specific risk. Off-the-Shelf compliance programs don’t cut it anymore.

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Will Trilantic Limit The Impact of Sun Capital Partners? More Litigation Over Private Equity Fund Title IV Liability

Will other courts impose pension liabilities on private equity funds?

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Can States Decide Who Is A Fiduciary? Nevada Ignores ERISA Preemption

States shouldn’t have a role in the regulation of pension plan fiduciaries. Nevada needs to step back and craft an ERISA exemption.

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Hiring an Investment Adviser? Here's What You Need to Know

Hiring fiduciaries need to look at more than just fees and past performance.

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Investment Advisers: Do Your Employees Text or Post on Social Media?

Investment Advisers: How to Use (and how not to use) Social Media and Electronic Communications

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10 Litigation Lessons for 401(k) and 403(b) Fiduciaries--Apply Them in 2019

Fiduciaries can learn a lot from recent litigation activity.

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Join us for an Adviser Roundtable Breakfast on August 1

We’ll discuss how to advise wealth management and retirement plan clients while staying compliant.

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Hydras and the Fiduciary Rule: Why We May Still Have New Advice Standards

Why the move to strengthen fiduciary standards is not dead.

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