Articles

Impact of the Dodd-Frank Act on Investment Advisers and Hedge Funds: Jul-23-2010
The SEC’s Custody Rule for Registered Investment Advisers: Apr-16-2010
Cross Border Concerns when Offering Financial Advisor Services into the U.S.: Sep-21-2009
Identifying Investors for Private Investment Products: May-06-2009 — Accredited Investors, Qualified Purchasers, Qualified Clients, Qualified Eligible Purchasers, and More
Ward B. Hinkle Article Outlines Regulations for Canadian Investment Advisors With U.S. Clients: Aug-22-2008 — Published in Advisor’s Edge
Investment Adviser Regulation in NY: Nine Questions for Analyzing Federal & State Regulatory Burdens: Feb-19-2008
How to design investment adviser compliance programs: Dec-17-2007 — Five questions for investment advisers and some helpful resources.