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New Jersey Court Expands Enforcement Tools in Securities Fraud Cases
capital markets compliance, internet investment adviser, investment adviser, investment adviser compliance, registered investment adviser Jay Proffitt 6/11/25 capital markets compliance, internet investment adviser, investment adviser, investment adviser compliance, registered investment adviser Jay Proffitt 6/11/25

New Jersey Court Expands Enforcement Tools in Securities Fraud Cases

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What RIAs Should Prioritize in 2025
capital markets compliance, capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, internet investment adviser, compliance as a service Jay Proffitt 6/9/25 capital markets compliance, capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, internet investment adviser, compliance as a service Jay Proffitt 6/9/25

What RIAs Should Prioritize in 2025

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Navigating the SEC's Updated Marketing Rule: Key Takeaways for Private Fund Managers
broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets, capital markets compliance Jay Proffitt 5/29/25 broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets, capital markets compliance Jay Proffitt 5/29/25

Navigating the SEC's Updated Marketing Rule: Key Takeaways for Private Fund Managers

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Market Volatility and Regulatory Shifts: The Mounting Pressure on Compliance Officers
adviser compliance, broker dealer compliance, capital markets compliance, compliance as a service Jay Proffitt 5/27/25 adviser compliance, broker dealer compliance, capital markets compliance, compliance as a service Jay Proffitt 5/27/25

Market Volatility and Regulatory Shifts: The Mounting Pressure on Compliance Officers

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Compliance Officers Under Pressure: How Market Volatility Increases Regulatory Risks
broker dealer compliance, investment adviser compliance, capital markets compliance, introducing broker compliance, money services business compliance Jay Proffitt 3/31/25 broker dealer compliance, investment adviser compliance, capital markets compliance, introducing broker compliance, money services business compliance Jay Proffitt 3/31/25

Compliance Officers Under Pressure: How Market Volatility Increases Regulatory Risks

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