News

Market volatility, high inflation and other macroeconomic headwinds highlight this quarter’s headlines. While the expected...

Rule Proposals, Exam Priorities, Risk Alerts, & More for Investment Advisers April 2022   The...

Guidance, Enforcement, Hot Topics, & More January 2022   I feel very fortunate to be...

Guidance, Enforcement, Hot Topics, & More for Investment Advisers As of: September 30, 2021 It’s...

We hope this letter finds you all well. It has been an active quarter, so...

We hope this letter finds you well. It has been an active quarter for compliance;...

I learned most everything I know about business as a young teenager. I learned that...

We hope this letter finds you well. The SEC’s fiscal year came to a close...

“Everything changes.”   Legendary NBA coach Phil Jackson referred to this quote during “The Last...

Our thoughts and prayers go out to everyone across the globe affected by the COVID-19...

“If you don’t do it this year, you will be one year older when you...

We’re a little late issuing our quarterly letter. We would fault our editorial team, but...