In light of recent amendments adopted by the U.S. Securities and Exchange Commission (the SEC), the pool of potential investors for private fund managers may be expanding. ...more
Why It Matters -
Broker-dealers and investment advisers should take heed of OCIE’s guidance and assess their compliance policies and procedures accordingly. Compliance should consider, in consultation with their counsel,...more
8/19/2020
/ Broker-Dealer ,
Business Continuity Plans ,
Compliance ,
Coronavirus/COVID-19 ,
Fee Disclosure ,
Fiduciary Duty ,
Information Governance ,
Investment Adviser ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Regulation Best Interest ,
Risk Alert ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Standard of Care