In addition to basic blocking and tackling, compliance officers often have the thankless job of performing the annual review of their compliance program required by Advisers Act Rule 206(4)-7....more
12/16/2024
/ Broker-Dealer ,
Business Entities ,
Chief Compliance Officers ,
Compliance ,
Investment Adviser ,
Investment Companies ,
Policies and Procedures ,
Private Funds ,
Regulation S-P ,
Regulatory Oversight ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
More Flack on WhatsApp, Hypothetical Performance SmackDown, A Timely Warning on the Pay-to-Play Rule, and Updates to Qualifying Venture Capital Fund Exemption - This month's big news from the SEC was more piggy-bank breaking...more
9/4/2024
/ Asset Management ,
Broker-Dealer ,
Campaign Contributions ,
Compliance Monitoring ,
Enforcement Actions ,
Fines ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Marketing ,
Pay-To-Play ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Self-Reporting ,
Settlement ,
Venture Capital ,
Workplace Communication
Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more
6/28/2024
/ Advertising ,
Asset Management ,
Broker-Dealer ,
Compliance ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Marketing ,
Private Equity Funds ,
Private Funds ,
Regulation BI ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
This article was originally published on Kitces.com, on May 15, 2024, and is available at at DoL’s Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now about Giving Rollover Advice After September...more
6/10/2024
/ Broker-Dealer ,
Department of Labor (DOL) ,
Duty of Care ,
Duty of Loyalty ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Final Rules ,
Individual Retirement Account (IRA) ,
Internal Revenue Code (IRC) ,
Investment ,
Investment Adviser ,
Investors ,
Prohibited Transactions ,
Registered Investment Advisors ,
Regulation Best Interest ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Security Rule
Compliance Update for the week Ending April 5, 2024 - For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy!...more
4/10/2024
/ Artificial Intelligence ,
Broker-Dealer ,
Compliance ,
Federal Register ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Investment Adviser ,
Investment Firms ,
Private Funds ,
Recordkeeping Requirements ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation