On March 13, 2020, the staff of the Securities and Exchange Commission (“SEC”) issued an exemptive order providing relief from certain provisions of the Investment Company Act of 1940, as amended (the “1940 Act”), to...more
3/17/2020
/ Coronavirus/COVID-19 ,
Corporate Governance ,
Disclosure Requirements ,
Emergency Response ,
Exemptive Relief ,
Filing Requirements ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Funds ,
Notice Requirements ,
Prospectus ,
Securities and Exchange Commission (SEC) ,
Virtual Meetings
On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed significant amendments to the rules under the Investment Advisers Act of 1940 (Advisers Act) governing investment adviser advertisements and...more
11/19/2019
/ Advertising ,
Books & Records ,
Broker-Dealer ,
Cash Solicitation Rule ,
Disclosure Requirements ,
Endorsements ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Pooled Investment Vehicles ,
Portability ,
Private Funds ,
Proposed Amendments ,
Recordkeeping Requirements ,
Retail Investors ,
Securities and Exchange Commission (SEC)