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Best wishes for 2021
Our legal guides are available by contacting us at
Legal guide updates
Our latest legal guides are available on the following topics: Corporate Transparency Act 2020, Hedge Funds 2021: The new decade; SEC examinations - hedge fund priorities. Please contact us for further information.
SEC - OCIE Examinations 2020 - Regulated Investment Advisers - Exam Priorities 2020
"Through its examinations, OCIE is promoting compliance and making a difference for investors and our securities markets. " From the SEC's OCIE exam priorities 2020.
We urge our clients and their chief compliance officers to review the SEC OCIE 2020 publication at the following link. Please contact us for any advice or clarification:
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Our LA office is located at 811 Wilshire Blvd, 17 Floor, Los Angeles 90017.
We are working remotely most of the time to comply with Covid-19 health regulations.
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