Welcome to Our Blog: SEC

FTX: A failure of due diligence

What happened to FTX, and more importantly, what should we think about going forward?

DDW is entering our 3rd year.  Honored to serve 27 firms in the US and Canada.  Thank you and Happy Holidays.

Is Your Due Diligence Independent - Truly Beyond Reproach

August 21, 2018 - Think Advisor

Fiduciary Rule - Is NJ taking the lead? And SEC testimony! All last week

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Webcast & Presentation on Industry Trends and Regulator Expectations for 2019 for BDs and RIAs

DDW President, Michael Freeman, gives webcast on 'Regulator Expectations for 2019 for BDs and RIAs'...

Checks and Balances

When the states don’t like what the federal government is doing, they make their own laws. New York...