The SEC’s final set of rules and amendments under the Investment Advisers Act of 1940 significantly expanded the regulatory compliance requirements for certain investment advisers. This table summarizes the applicability of...more
On August 1, 2013, the Division of Investment Management of the Securities and Exchange Commission published an IM Guidance Update (the “Update”) regarding Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act...more