In this issue, we discuss Risk Alerts issued by the SEC Examinations Division regarding examinations of newly-registered advisers and the safeguarding of customer information at branch of...
The SEC’s proposed amendment would expand the current custody rule under the Advisers Act to cover a broader array of client assets and advisory activities and impose new custodial prot...
In this issue, we discuss recent rule proposals regarding cybersecurity risk management and protection of customer information by registered advisers and investment companies.
In this issue, we discuss recent rule proposals regarding cybersecurity risk management and protection of customer information by registered advisers and investment companies.
In this issue we discuss, among other things, SEC Division of Examinations priorities for 2023 and a recent enforcement action involving an adviser’s alleged conflict of interest with r...
In this issue we discuss, among other things, SEC Division of Investment Management guidance regarding registered funds and differential advisory fee waivers, SEC Division of Examinations...
The SEC’s proposed amendment would expand the current custody rule to cover a broader array of client assets and advisory activities and impose new custodial protections on client asset...
In this issue we discuss, among other things, an update to SEC FAQs regarding compliance with the Advisers Act marketing rule, and a recent enforcement action involving a portfolio manage...
In this issue we discuss, among other things, an update to SEC FAQs regarding compliance with the Advisers Act marketing rule, and a recent enforcement action involving a portfolio manage...
In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
