Paulo Marnoto

Paulo Marnoto

K&L Gates LLP

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SEC Issues Risk Alert on Custody Rule, Reinforcing Its Message to Registered Investment Advisers in Its Examination Priorities for...

On March 4, 2013, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert identifying “significant deficiencies” by registered investment advisers in compliance with Rule 206(4)-2 under the...more

3/18/2013 - Asset Valuations Conflicts of Interest Custody Rule Investment Adviser Marketing NEP OCIE Pooled Investment Vehicles Reporting Requirements SEC

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