Searching Content indexed under Fund Management/ REITs by Joshua Horn ordered by Published Date Descending.
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Private Equity And Hedge Funds: Regulatory Analysis And Structural Overview
We have produced this handbook as a reference guide for all those who are interested in this exciting field, from potential entrants to those who may be more established and need a quick reference guide.
United States
22 Oct 2016
Why Treating Customer Complaint With Therapeutic Neglect Always Fails
I have seen this "human nature" all too often when defending brokers and advisor from customer complaints.
United States
2 Aug 2016
It Is All About The Disclosures
The SEC recently commenced an enforcement action against an investment advisory firm and its principal in connection with the failure to disclose material conflicts of interest in connection with new mutual funds that the firm recently created and managed.
United States
13 Jun 2016
SEC Exam Priorities; It Seems Like Deja Vu All Over Again
Those famous words of the immortal Yogi Berra hold true when it comes to the SEC exam priorities for 2016.
United States
27 Jan 2016
Who Still Thinks FINRA Is Not Interested In Elder Investor Issues
As you may know, FINRA, last April, launched a senior helpline to address issues pertaining to senior investors.
United States
7 Jan 2016
Why Does The SEC Care About Elder Clients
The SEC is conducting an exam sweep that focuses on retirement advice being given to clients of investment advisors and broker-dealers.
United States
30 Dec 2015
What You Need To Know About The SEC Cybersecurity Exam Priority
In a recent risk alert, the SEC announced that it was instituting a second exam priority focused on cybersecurity at broker-dealers and registered investment advisors.
United States
21 Sep 2015
So What Does The SEC Think About Cybersecurity
At the end of last month, the SEC provided a guidance update on cybersecurity for registered investment companies and registered investment advisors.
United States
5 May 2015
The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End
The Department of Labor delivered on a longstanding but controversial promise when it recently proposed a fiduciary duty rule for all brokers who work with retirement accounts.
United States
16 Apr 2015
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