Geoffrey Perusse

Geoffrey Perusse

Allen Matkins Leck Gamble Mallory & Natsis LLP

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SEC to Focus on Firms Hiring Those with Disciplinary History

SEC’s Office of Compliance Inspections and Examinations (OCIE) has recently issued a risk alert to registered investment advisers indicating their intent to focus on compliance oversight and controls with respect to the...more

11/8/2016 - Compliance Conflicts of Interest Disclosure Fiduciary Duty Hiring & Firing Investment Adviser Investment Advisers Act of 1940 Marketing OCIE SEC

SEC Proposes Regulations Related to Crowdfunding (Part 1)

The Securities and Exchange Commission ("SEC") proposed for comment new regulations on Crowdfunding. Crowdfunding is the general term used to describe a new way of raising capital using the Internet. A crowdfunding...more

12/5/2013 - Accredited Investors Advertising Crowdfunding Disclosure Requirements Intermediaries JOBS Act Reporting Requirements SEC Securities Act of 1933

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