Tag Archives: alternative investments

SEC Exam Priorities 2015

January 13, 2015 Dear Friends, The SEC released its examination priorities for 2015, as outlined below. Cybersecurity: The SEC will continue its initiative to examine investment advisers’ and broker-dealers’ cybersecurity compliance controls and will also examine transfer agents. Alternative Investment Companies: The SEC will focus on mutual funds with alternative investments, specifically with respect to valuation, internal controls, and marketing […]

Take Advantage of the Future by Investing Now

              Investors at all levels have been tempted to stash their savings away in what they view as safe places: federally-insured banks, gold, their mattresses. But, as retirement creeps closer, or for some of you, continues on, it is difficult to protect the value of what you have. It is even more difficult to take what you have and get […]

Thomas J. Powell – Reasonable Regulation: That’s Allstate’s Stand

Reasonable Regulation: That’s Allstate’s Stand             Many companies involved in financial services cower when an official of any stature mentions the threat of national regulation, but Allstate has decided to embrace it. Since late April, Allstate has been pushing an advertising campaign that is rooted in support for creating a national regulation agency for all players in the financial industry, […]