On August 23, 2023, the Securities and Exchange Commission (SEC) voted three to two (Commissioners Peirce and Uyeda dissenting) to adopt new and amended rules (Final Rules) under the Investment Advisers Act of 1940 (Advisers...more
8/30/2023
/ Audits ,
Clawbacks ,
Final Rules ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Private Funds ,
Quarterly Report ,
Recordkeeping Requirements ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Side Letters ,
Transparency
In an extensive release,1 the U.S. Securities and Exchange Commission (SEC), proposed new and amended rules (collectively, the Proposed Rules) under the Investment Advisers Act of 1940 (the Act) that would impose specific...more
3/22/2022
/ Audits ,
Disclosure Requirements ,
Fees ,
Financial Statements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Misappropriation ,
Policies and Procedures ,
Private Funds ,
Proposed Amendments ,
Proposed Rules ,
Quarterly Report ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
In a series of three proposed regulations with requests for comments, the Securities and Exchange Commission (SEC) seeks to enhance communications by broker-dealers and investment advisers to their customers and clients. This...more