RIAs and ERAs may soon be required to implement procedures to verify their clients’ identities.
On May 13, 2024, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes...more
The proposed amendments will have a substantial regulatory impact on private fund managers if adopted.
On February 9, 2022, the Securities and Exchange Commission (SEC) published a proposed rule that, if adopted, would...more