Does your firm routinely solicit investors and/or co-investors? Does it market its funds to endowments, pension funds and high net worth individuals? Does your firm advise companies on mergers and acquisitions and debt offerings? If your firm receives compensation for any of these services, then you could be engaging in broker-dealer activities for which registration as a broker-dealer is required.
January 12, 2016 – For our Compliance Corner inaugural issue, we are highlighting some of the compliance hot topics that will be front and center for the SEC. We believe this list, while not exhaustive, addresses the high-risk practice areas and major initiatives that can help you build an effective compliance program.