Practice Areas
Bar Admissions
- New York
- District of Columbia
- Pennsylvania
- New York
-
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.7105
Fax: 212.309.6001
51 Publications Found
| Date | Title | Publication |
| 11/13/08 |
ERISA for Money Managers, presented at the ERISA for Money Managers: An Interactive Workshop, Boston
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|
Speech |
| October 2008 |
Form ADV Part 2 and Regulation S-P, presented at the Investment Adviser Association Annual Compliance Workshop, Los Angeles; San Francisco; New York
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|
Speech |
| 07/30/08 |
SEC and DOL Agree to Cooperate in Examinations
View LawFlash
|
Investment Management FYI |
| 07/22/08 |
SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule
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|
Investment Management FYI |
| 06/30/08 |
SEC Proposes Major Revisions to Rule 15a-6
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|
Securities Industry FYI |
| May/June 2008 |
An Inconvenient Truth: Disclosure of Conflicts of Interest in Proposed Form ADV Part 2, Practical Compliance & Risk Management for the Securities Industry
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|
Article |
| 04/28/08 |
Investment Adviser Conflicts of Interest Disclosures, presented at the 2008 NSCP Midwest Regional Meeting, Chicago
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|
Speech |
| 04/17/08 |
Fiduciary Duty and Status, presented at the ERISA for Money Managers Workshop, New York
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|
Speech |
| 04/17/08 |
Hot Issues for Investment Advisers With Erisa Clients, presented at the ERISA for Money Managers Workshop, New York
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|
Speech |
| 03/13/08 |
Compliance Program Rules: Requirements, Responsibility, Accountability and Thinking Like an SEC Examiner, presented at the NRS Center form Compliance Professionals Investment Adviser Compliance Training, New York |
Speech |
| 03/07/08 |
SEC Finally Publishes Proposed Amendments to Part 2 of Form ADV
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|
Investment Management FYI |
| 02/14/08 |
SEC Votes to Propose Amendments to Part 2 of Form ADV (Finally)
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|
Investment Management FYI |
| 12/06/07 |
Compliance Officers and Compliance Programs, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami
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|
Speech |
| 12/06/07 |
Investment Adviser Advertising, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami
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|
Speech |
| 12/06/07 |
Managing Conflicts of Interest, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami
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|
Speech |
| 12/06/07 |
Portfolio Trading Compliance, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami
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|
Speech |
| 11/15/07 |
Annual Compliance Program Reviews, presented at the IAA Compliance Workshop, San Francisco
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|
Speech |
| 11/15/07 |
Selected Issues in Best Execution and Trading Practice, presented at the IAA Compliance Workshop, San Francisco
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|
Speech |
| 10/01/03 |
Performance Advertising
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|
Speech |
| 10/01/03 |
SEC Regulation Of Performance Advertising
By Investment Advisers
SEC Regulation Of Performance Advertising
|
Speech |
| 09/08/03 |
Improving Your Form ADV
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|
Speech |
| 05/30/03 |
Best Execution and Beyond
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|
Speech |
| 05/30/03 |
Investment Adviser Referral Arrangements
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|
Speech |
| 04/24/03 |
Investment Advisers on the Internet
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|
Speech |
| 10/23/02 |
Investment Adviser Performance Advertising
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|
Speech |