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Investment Adviser › Compliance › Registration

Winstead PC

The Division of Examinations’ Continued Focus on Digital Asset Securities and Implications for Investment Advisers

Winstead PC on

If you are a securities industry participant seeking to engage in digital asset-related activities, it is time to develop and enhance your compliance practices, says a risk alert by the SEC’s Division of Examinations. ...more

Goodwin

SEC Integrates Two Exempt Reporting Advisers to Determine Advisers Act Registration Status

Goodwin on

The SEC settled public administrative proceedings against TL Ventures Inc., a venture capital fund adviser (the “VC Fund Adviser”) and Penn Mezzanine Partners Management, L.P. (the “Private Fund Adviser” and with the VC Fund...more

Pillsbury Winthrop Shaw Pittman LLP

New Custody Compliance Tasks for California Registered Advisers Effective April 1

Pillsbury Winthrop Shaw Pittman LLP on

The California Commissioner of Business Oversight (“Commissioner”) recently amended California’s custody rule 10 C.C.R. Section 260.237 (the “New Custody Rule”). The New Custody Rule will be effective on April 1, 2014....more

Allen Matkins

Proxy Advisory Firms And Investment Adviser Registration

Allen Matkins on

Recently, I wrote about a shareholder proposal seeking to hold a proxy advisor popularity contest. I commented that this could raise some interesting compliance challenges for proxy advisory firms that are registered as...more

Brooks Pierce

SEC’s Asset Management Unit Focuses on Compliance Failures, Vol. 2

Brooks Pierce on

As we discussed last month, the SEC’s Asset Management Unit has developed a likeness for not just big, headline-grabbing cases, but relatively small compliance-based cases that are designed to prevent minor problems from...more

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