January 2013

Regulators Seek to ‘Get Behind the Numbers’

by NCS Regulatory Compliance on January 31, 2013

Private Placement Filing Requirements: Does This Apply to Your Firm?

by NCS Regulatory Compliance on January 24, 2013

ERISA Plan Advisers Now Required to Disclose Fees

by NCS Regulatory Compliance on January 17, 2013

Advisers Beware! How to Avoid Conflicts of Interest

by NCS Regulatory Compliance on January 10, 2013

Presence Exam Checklist for Private Fund Advisers

by NCS Regulatory Compliance on January 3, 2013