Jeffrey Smith
Discover C-Visory Search with Tom Watson
I am delighted to share some exciting news about the growth of LawVisory and ConsultVisory. As part of our ongoing commitment to enhancing our services and delivering exceptional value, we are thrilled to announce that Tom Watson has joined our team as a Partner to head up our newly formed division, C-Visory Search. Tom brings…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
Get Your Regulatory Update Here
If you have any inquiries regarding the application of the report to your firm or need assistance with implementing the provided guidance, please don’t hesitate to contact us at LawVisory. Our commitment is to assist you comprehensively, and we are available to support you in any way you may require. We genuinely hope that this…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
Compliant and Innovative Tax Strategies
U.S. taxpayers earning $500,000+ annually, or those who have sold or are planning to sell their businesses or appreciated assets often face a significant, and sometimes unexpected tax burden. Join us as we share our innovative and advanced tax strategies to help reduce annual tax burdens for many years to come. What You Will Learn:…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
Navigating SEC Examinations: Insights from the Risk Alert
The post provides registered investment advisers (RIAs) with critical information about the examination process conducted by the Securities and Exchange Commission (SEC) Division of Examinations. As compliance with regulatory standards is vital for protecting investor interests and maintaining market integrity, the blog highlights key updates from a recent Risk Alert that details how the SEC…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
Navigating the SEC Marketing Rule: Your Comprehensive Guide to Compliance
As financial regulations evolve, the SEC’s Marketing Rule has emerged as a pivotal framework influencing how financial advisers and firms promote their services. We provide a comprehensive guide to navigating this rule since its compliance deadline over a year ago. It highlights the importance of understanding the SEC’s requirements to avoid non-compliance, which has resulted…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
The Importance of Legal and Compliance in Raising Capital
Raising capital is a pivotal moment for startups and growing businesses, providing the necessary resources for growth and innovation. However, the legal and compliance aspects of fundraising can be complex and overwhelming. This blog post emphasizes the critical importance of adhering to legal regulations during capital-raising efforts and the potential consequences of non-compliance. It outlines…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
Enhancing Investor Protection: SEC’s Proposal for Predictive Analytics Rule
In a world increasingly shaped by advanced technologies like predictive analytics and artificial intelligence, the Securities and Exchange Commission (SEC) is taking proactive steps to safeguard investor interests. The proposed “Predictive Analytics Rule” aims to address conflicts of interest that may arise from the use of predictive data analytics by investment advisers and broker-dealers during…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
Top 5 Compliance Challenges Faced by RIAs in 2024: Navigating SEC Regulations
In 2024, Registered Investment Advisers (RIAs) in the U.S. are confronted with a rapidly changing regulatory landscape shaped by the Securities and Exchange Commission (SEC). This post outlines the top challenges RIAs face, including adapting to new SEC rule changes, managing increased enforcement actions, ensuring accurate and timely disclosures, enhancing cybersecurity measures, and navigating complex…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
Making Capital Raising Easier, Quicker, and Safer with Comprehensive Assistance
Raising capital is essential for startups and growing businesses, but the process can be complicated due to legal and regulatory hurdles. This post discusses the challenges entrepreneurs face when seeking funding, including complex SEC regulations, time-consuming paperwork, and the risks of non-compliance. It emphasizes the importance of comprehensive filing assistance services, which can streamline the…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
Embracing Digital Evolution Proposed Amendments for Internet Advisers
In response to the rapid evolution of digital investment advisory services, the Securities and Exchange Commission (SEC) has proposed amendments to Rule 203A-2(e) to better align regulatory frameworks with modern technological practices. The existing rule allows advisers who provide advice exclusively through websites to register with the SEC, even if they do not meet the…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
October 2024 Regulatory Update for SEC Registered Investment Advisers
We are We are delighted to provide you with a copy of LawVisory’s third quarter report on the recent regulatory updates entitled October 2024 Regulatory Update for SEC Registered Investment Advisers.delighted to provide you with a copy of LawVisory’s third quarter report on the recent regulatory updates entitled October 2024 Regulatory Update for SEC Registered…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory
Expert Tips for Maintaining SEC Compliance: Why Outsourcing to Industry Veterans is Key
Navigating SEC regulations can be a daunting task for Registered Investment Advisers (RIAs), especially with the continuous updates and enforcement of rules. Outsourcing SEC compliance and legal expertise can significantly alleviate this burden. By partnering with firms that employ former SEC attorneys, RIAs can ensure compliance and prepare for regulatory scrutiny. This article outlines expert…
- Capital Markets in Washington DC
Jeffrey SmithJD, LLM, CRCP, IACCP, CRM
bronze Jeffrey is a bronze memberFounder and Managing Attorney at LawVisory