Tag: SEC

Mock SEC Exams

How Can RIAs Benefit from Mock SEC Exams?

Common Mistakes in Client Referral Arrangements

Common Mistakes in Client Referral Arrangements

https://brightstarlawgroup.com/compliance-program-mistakes-and-remedies/

TOP TEN MISTAKES WE SEE IN RIA COMPLIANCE PROGRAMS

reforms for private fund advisers

SEC Adopts Sweeping Reforms for Private Fund Advisers

marketing rule

Understanding the New SEC Marketing Rule: A Land of Opportunity and Risk