SEC Releases Information Update to Align Existing Staff Letters with New Adviser Marketing Rule
As discussed more fully in our earlier article, the Securities Exchange Commission (“SEC”) adopted its new Marketing Rule on December…
Read MoreMonth: November 2021
New SEC Risk Alert – Advisory Fees are in the Crosshairs Again
On November 10, 20201, the SEC’s Division of Examinations issued a Risk Alert relating to investment adviser’s fee calculations. The…
Read MoreUpcoming Deadlines: Investment Advisers’ Year-End and Q1 2022 Compliance Reminders
At the end of every fiscal year, U.S. registered investment advisers (“RIAs”) have regulatory compliance tasks and obligations, which range…
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