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Last week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations…
Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual...
On April 17, 2024 the Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) issued a Risk Alert regarding investment advisers’ compliance with amended...
The New Jersey Legislature joined a handful of states, including Illinois, California and Massachusetts, in enacting statutory protections and rights for LGBTQI and HIV+ residents of...
The New Jersey Legislature joined a handful of states, including Illinois, California and Massachusetts,[1] in enacting statutory protections and…