News, Events and Publications
May 2nd, 2018: Fiduciary Duty, Conflicts of Interest & Advisory Feest
December 7th, 2017: SEC’s 2017 Enforcement Actions
September 5th, 2017: Should your non-U.S. Firm be registered as a Broker-Dealer with the SEC?
April 6th 2017: Revenue Sharing Arrangements, Form ADV Disclosures and Conflicts of Interest
March 7th 2017: SEC Cites Top Five Examination Deficiencies
December 20th 2016: U.S. Estate Tax Dies Under Trump
August 17th 2016: Wrap Fees and Foreign Currency Exchange Markups
March 22nd 2016: U.S. Taxes Triggered when the Swiss Invest in the U.S.
January 14th 2016: Cybersecurity remains a SEC priority in 2016
August 18th 2015: Are Chief Compliance Officers Strictly Liable
April 29th 2015: Conflicts, Conflicts Everywhere. SEC Charges Blackrock Advisors
January 5th 2015: 2015 Checklist for Registered Investment Advisers
November 16th 2014: SEC Charges HSBC’s Swiss Private Banking Unit