This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers. Please contact us with any questions on the topics covered below.
The SEC Adopts Significant New Rules for Private...more
10/16/2023
/ Amended Rules ,
Analytics ,
Beneficial Owner ,
Compliance ,
Compliance Dates ,
Custody Rule ,
Enforcement Actions ,
Filing Deadlines ,
Form PF ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
New Rules ,
Private Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Reporting Requirements ,
Risk Alert ,
Schedule 13D ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
The Securities and Exchange Commission (the “SEC”) proposed new rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to address the risks to investors from conflicts of interest associated...more
8/17/2023
/ Analytics ,
Artificial Intelligence ,
Broker-Dealer ,
Conflicts of Interest ,
Financial Services Industry ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Machine Learning ,
Proposed Rules ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934