Tag: sec

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Decoding The Valuation Report Process

In the aftermath of Dodd-Frank’s implementation, all registered private equity firms received letters from the Securities and Exchange Commission introducing the SEC’s Presence Exams. These exams, designed to engage, examine and report on areas of risk, largely focused on marketing […]

Image source: The Blue Diamond Gallery

Fostering A Culture Of Compliance

Advisor Perspectives welcomes guest contributions. The views presented here do not necessarily represent those of Advisor Perspectives. Confidence and trust form the foundation of every investment advisory firm. As a result, investment advisors that actively foster commitment among employees to […]