The staff of the Division of Investment Management at the Securities and Exchange Commission has prepared responses to some questions about Rule 206(4)-5 under the Investment Advisers Act of 1940. Here are a few that caught my eye: Question II.6. Covered Associates’ Family Members. Q: Are contributions by an advisory employee’s family members covered under [...]
Archive | April, 2011
Compliance Bits and Pieces for April 1
Here are some compliance related stories that caught my eye: Playmobil Apple Store Playset from ThinkGeek So when we spotted this amazing Apple Store Playset from PLAYMOBIL™ we were admittedly in a bit of a conundrum. On the one hand, it’s a product designed for children much younger than ourselves. On the other hand, it’s [...]
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