Articles

Ward B. Hinkle Article Outlines Regulations for Canadian Investment Advisors With U.S. Clients: Aug-22-2008 — Advisor’s Edge, August 2008
Investment Adviser Regulation in NY: Nine Questions for Analyzing Federal & State Regulatory Burdens: Feb-19-2008
Cross Border Concerns in Offering Services as an Investment Adviser in the U.S.: Jan-25-2008 — Ten questions to help foreign financial advisors analyze the impact of U.S. investment adviser laws
How to design investment adviser compliance programs: Dec-17-2007 — Five questions for investment advisers and some helpful resources.
New SEC Custody Requirements for Registered Investment Advisers: Apr-02-2004 — The compliance period for new SEC amendments to Rule 206(4)-2, which governs the custody of client securities and funds by federally registered investment advisers (RIAs), commenced on April 1, 2004.
Investment Adviser Alert - Changes in New York Regulatory Scheme: Mar-19-2003 — New registration and filing requirements for investment advisers with more than five New York clients will go into effect March 31, 2003.