A client recently raised an interesting contract law question: Is an executed signature page sufficient, or should you ask your...

Three years ago, the SEC made waves in the long-established regulatory landscape for investment advisers. The new Investment Adviser Marketing Rule impacts nearly every communication an adviser makes, which has major implications for day-to-day operations. The SEC has said that compliance with the Marketing Rule is among its 2025 enforcement priorities -- and it was a 2024 enforcement priority before that. Enforcement has followed. In September of 2023, the SEC announced char

Many career transitions begin with what’s known as a “lift-out analysis.” This involves carefully reviewing employment agreements to...

As is the case across industries, AI is transforming the investment advisory landscape. It's enhancing client service, making advisers...

Many RIAs have been preparing compliance programs in anticipation of the new anti-money laundering (AML) rule for investment advisers,...

Having followed recent legal developments in investment advisor marketing, it was interesting to see that the FTC’s new rule on insider...