On November 16, 2022, the California Department of Financial Protection and Innovation (“DFPI”) proposed new regulations under the Corporate Securities…
Read MoreEach year registered investment advisers (“RIAs”) must undertake a range of compliance tasks and obligations. While tasks can vary dependent…
Read MoreUnder both Regulation Best Interest (“Reg BI”) and the Investment Adviser fiduciary standard, firms and financial professionals should provide recommendations…
Read MoreOn January 1, 2022, certain US States will begin imposing new continuing education (“CE”) requirements for Investment Adviser Representatives (“IARs”)…
Read MoreAs discussed more fully in our earlier article, the Securities Exchange Commission (“SEC”) adopted its new Marketing Rule on December…
Read MoreOn November 10, 20201, the SEC’s Division of Examinations issued a Risk Alert relating to investment adviser’s fee calculations. The…
Read MoreAt the end of every fiscal year, U.S. registered investment advisers (“RIAs”) have regulatory compliance tasks and obligations, which range…
Read MoreInvestor sophistication standards are critical for hedge funds, private equity funds and other advisory firms that use performance-based compensation agreements.…
Read MoreThe SEC’s Division of Enforcement announced action against a whopping 27 investment advisers in connection with issues relating to the…
Read MoreIt was reported over the weekend that David Cicilline (D), the House Judiciary Committee’s Antitrust Panel’s Chairman, plans to propose…
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