“The pessimist complains about the wind; the optimist expects it to change; the realist adjusts the sails.” (William Arthur Ward)
Welcome to the January 2017 BOTW. We are still waiting for the new Administration to impanel the new SEC. Regardless, the regulatory world keeps turning. Drinker offers some excellent advice on how to respond to an SEC exam. Groom looks into its crystal ball for retirement and health policy. Dechert offers a comprehensive compliance outline for advisers.