Publications

January 2021 Operational Due Diligence Briefing

 

 

Operational Due Diligence Briefing, March 2019

Undisclosed Conflicts

Cherry Picking: Strong Investment Management

SEC COMPLIANCE OUTREACH PROGRAM: NATIONAL SEMINAR

Lending Club

Mount Kellett: Conflicts And Other Violations Arising From A Personal Loan

Operational Due Diligence Briefing, December 2018

Pay To Play Case Summaries

Testimonial Rule

CCO Briefing, Volume 18, Issue 7

CCO Briefing, Volume 18, Issue 6

Alchemy Accelerated: Private Equity Pre-Commitment Fee Disclosure

Pay To Play Revisited: Political Contributions by Investment Advisers

Compliance Outreach Program 2018

Orical Partner, Greg Florio, Quoted Regarding SEC Examinations of Registered Investment Advisers

2017 SEC Year In Review

2017 Year in Review

CCO Briefing November 2017

2017 Compliance Outreach Program

SEC Files Insider Trading Charges Related to Medicare Reimbursement Rates

Leon Cooperman Settlement

Beneficial Ownership Reporting, May 2017

Inadvertent Custody, May 2017

Single Family Offices and Regulation

Prevention of the Misuse of Material Nonpublic Information by Investment Advisers

2016 Compliance Outreach Program