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Howdy Neighbor! Welcome to the ’40 Act

December 8, 2011

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Recent coverage of SEC enforcement actions by the trade press highlights a crackdown on compliance deficiencies by investment advisers. One former SEC attorney predicted an ‘enforcement wave’ was coming soon for advisers. Robert Khuzami, director of the SEC’s Division of…

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Fiduciary Links: RIA business tripled over past decade

March 7, 2011

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One of the lead stories from InvestmentNews last week was about the size of the RIA market tripling over the past decade. The obvious implication is that investors are increasingly turning to the advice model for their investment needs, which…

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