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Financial Services

SEC Provides Regulatory Relief for Funds and Advisers Affected by COVID-19

Posted 5:00 PM by
On March 13, 2020, the Securities and Exchange Commission (SEC) announced that it is providing regulatory relief for registered funds and investment advisors, citing the impact on their operations due to COVID-19. The SEC is providing temporary exemptive relief related to requirements in the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
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5 Tips for Avoiding Broker-Dealer Compliance Exposure

Posted 4:00 PM by
Navigating the current landscape of regulatory compliance is not easy. For broker-dealers, neither is managing the required annual report filings. But having insight about common compliance exposures and how to avoid them can help ensure your business is protected from costly mistakes.
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10 Ways Tax Reform Is Impacting Financial Services

Posted 4:00 AM by
The effects of tax reform are wide-reaching, but for financial services professionals – including alternative investors, broker-dealers, registered investment advisors, and wealth managers – the impact will be keenly felt not only in the financial services industry itself but also in the industries in which they are invested.
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