In 2023, the Securities and Exchange Commission issued various proposed rules on regulatory changes that will affect SEC-registered investment advisers (RIAs). Since these rules are likely to be put into effect, RIAs should...more
1/12/2024
/ Analytics ,
Conflicts of Interest ,
Custody Rule ,
Cybersecurity ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Outsourcing ,
Policies and Procedures ,
Predictive Analytics ,
Proposed Rules ,
Registered Investment Advisors ,
Risk Management ,
Securities and Exchange Commission (SEC)
In 2023, Registered Investment Advisers (“RIAs”) who are registered with the Securities and Exchange Commission (“SEC”) should be prepared for regulatory changes. These include proposed changes to rules governing RIA...more
On January 5, 2023, the Federal Trade Commission ("FTC") issued a notice of proposed rulemaking that would render all non-compete agreements, other than those entered into in connection with the sale of a business,...more
1/6/2023
/ Employment Contract ,
Executive Orders ,
Federal Trade Commission (FTC) ,
FTC Act ,
Non-Compete Agreements ,
NPRM ,
Proposed Rules ,
Public Comment ,
Restrictive Covenants ,
Section 5 ,
Unfair Competition