December 11, 2015

New Exception to Annual Privacy Notice Requirement

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November 23, 2015

Major Changes to IRS Partnership Audit Procedures Requires Review of Fund Documents

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November 11, 2015

First Jury Conviction for Commodities Fraud and Spoofing

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November 5, 2015

IRS Releases Notices Regarding Tax Treatment of Certain Basket Option Contracts and Basket Contracts in Notices 2015-73 and 2015-74

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October 9, 2015

October 2015 Private Funds Bullet Report

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October 9, 2015

IRS Finalizes Regulations on Dividend Equivalent Withholding

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October 1, 2015

Partner Paul Miller authored an article for the Investment Adviser Association’s Compliance Corner titled, “Revisiting Annual Compliance Reviews.”

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September 25, 2015

SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs

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September 25, 2015

SEC Sanctions Investment Adviser for Failing to Adopt Proper Cybersecurity Policies and Procedures

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September 18, 2015

OCIE Announces Second Round of Cybersecurity Examinations

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August 26, 2015

2014 Benchmark Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons

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August 26, 2015

FinCEN Proposes AML Requirements for Registered Investment Advisers

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August 12, 2015

SEC’s Concept Release Calling for Enhanced Audit Committee Disclosure

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August 10, 2015

Shareholder Activism Bullet Report – August 2015

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August 7, 2015

Changes to FBAR and Partnership Tax Filing Deadlines

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