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Topic: Solicitors

Know What Your Firm Solicits Before Moving on Compliance

January 18, 2018
There are two kinds of solicitation that advisory firms might pursue: seeking new advisory clients, and finding new investors for private funds. In terms of compliance, while the two solicitation types share some requirements, they donít share them all Ė and, in fact, there are some compliance requirements that are unique to each. It is essential that advisory firms design compliance procedures that address the type of solicitation they perform.

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Cash Solicitation Fees are Legal, Except When …

August 22, 2014
Working with a third party to bring you new business is never as easy as it sounds. When you pay the third party, it gets complicated.

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