Topic: Solicitors

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.

Read More

SEC Staff Clarifies Application of Cash Solicitation Rule to Hedge Fund Advisers

July 25, 2008

Read More

OCIE Issues Second ComplianceAlert Letter

July 25, 2008

Read More

Referral Fee Payment to Mom Lands Executive in Hot Water

March 17, 2008

Read More

Valuation, Cash Solicitation, and Advertising: What’s Next From the Division of Investment Management

January 25, 2008

Read More

Advanced Search

Audio Interviews

How to Read an SEC Enforcement Action

Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.

Top 10 Cybersecurity Steps to Take Now

Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.

The Hidden Costs of Non-Compliance

Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.

Watch Out for 5 Cybersecurity Myths

Learn which cyber threats and remedies are real and which are myths from ACA Aponix senior principal consultant Pascal Busnel.

CCO Liability: How to Protect Yourself

Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.

SEC Exam Priorities and Changes

Investment Adviser Association president and chief executive officer Karen Barr on SEC exam priorities, changes in how the agency conducts exams, and what advisers should do to prepare.

Ethics or Compliance: Making the Choice

Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.

Webinars and Videos

Cybersecurity One Year Post-SEC Alert: What Investment Advisors Need to Know

Many investment advisers rank cybersecurity as their number one concern. Listen and view this webinar to find out just what reasonable precautions to put in place.

See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals