by James E. Grand | Jul 28, 2018 | In Plain English
A publication of THE SECURITIES LAW GROUP | James E. Grand | July 2018 As registered investment advisers (“RIAs”) attempt to grow their businesses, they often consider whether to use third-party solicitors. RIAs must take care to understand the compliance...
by James E. Grand | Jun 7, 2017 | In Plain English
On May 22, 2017, the Department of Labor (DOL) announced that the DOL’s new fiduciary investment advice rule would go into effect on June 9, 2017 (as opposed to April 10, the originally scheduled implementation date). This paper focuses on what the new applicability...
by James E. Grand | May 25, 2017 | In Plain English
In Plain English A publication of THE SECURITIES LAW GROUP | James E. Grand | May 2017 Investment advisers are subject to audit and examinations by the SEC and/or state regulatory authorities in somewhat unpredictable intervals. This paper focuses on the four topics...
by James E. Grand | Apr 18, 2017 | In Plain English
GUIDELINES FOR ADVISERS: SPEAKING TO THE PRESS Investment advisers making public appearances, whether on television, radio shows, at conferences or conducting interviews with the press, need to be aware of the following regulatory considerations. This checklist should...
by James E. Grand | Jan 9, 2017 | In Plain English
In Plain English A publication of THE SECURITIES LAW GROUP | James E. Grand | January 2017 As Donald Trump’s inauguration approaches, many are wondering what will happen to the DOL’s new fiduciary rule which governs advice to retirement plan assets. It is no secret...
by James E. Grand | Dec 26, 2016 | In Plain English
AVOIDING A “GENERAL SOLICITATION”—Do’s and Don’ts It is important for hedge fund managers to fully understand the breadth of Regulation D’s prohibition on general solicitation or general advertising. Basically, the prohibition broadly applies to all contacts with...