Happy New Year! Holidays are great, but to be honest, it always feels good to me to get back to a normal work week. I like routines and...

Here we are, in December. Finally. We’ve made it this far in the marathon that is 2020. Just a short sprint through the holidays, and...

Can you believe it's November already? In some respects, 2020 seems to have been the longest year EVER, and yet, I can't believe how fast...

Now that we are in the downhill slide toward the end of the year, here are a few compliance items to consider this month: Personal...

Let's talk about Form CRS and the Conversation Starters it requires.

October is time to take a look at your cybersecurity policies.

On August 21, 2019, the Securities and Exchange Commission ("SEC") issued some guidance to assist investment advisers on proxy voting and...

The basics of getting registered as an investment adviser.

On November 9, 2015, the SEC issued a Risk Alert about compliance outsourcing. Due to increasing regulations and reporting requirements,...