Explore the latest legal developments and regulatory updates impacting funds, advisers, and industry participants, including SEC rule amendments, compliance extensions, and guidance on accredited investor verification....more
This update covers legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended June 30.
Rulemaking and Guidance:
• SEC Issues Third Marketing Rule Risk Alert for...more
This update covers legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended March 31.
Rulemaking and Guidance:
• SEC Adopts Reforms Relating to Investment Advisers...more
5/10/2024
/ AML/CFT ,
Anti-Money Laundering ,
Financial Crimes ,
FinCEN ,
Investment Adviser ,
Investment Management ,
New Guidance ,
New Rules ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
SRO ,
Suspicious Activity Reports (SARs)