Securities

Recent Posts

Incentive Compensation Limitations and Disclosures for Private Fund Managers
Posted on 3 Mar 2011 by Doug Cornelius

At the Wednesday March 2 Open Meeting, the Securities and Exchange Commission voted to approve a new rule that would affect incentive compensation paid to employees of investment advisers and broker-dealers . Commissioners Casey and Paredes voted against... Read More

Custody and Private Funds
Posted on 8 Mar 2011 by Doug Cornelius

Last year, the Securities and Exchange Commission put a new rule in place restricting an investment adviser's ability to have custody of its clients' assets. Given that many private fund managers are going to have to register as investment... Read More

The SEC is Looking at Advisers’ Use of Social Media
Posted on 22 Feb 2011 by Doug Cornelius

According to a story in Investment News , the Securities and Exchange Commission began a sweep of investment advisers' use of social media and social networking last month. The story has a quote from Doug Flynn, an adviser at Flynn Zito Capital... Read More