This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers....more
6/4/2024
/ Compliance ,
Electronic Communications ,
Enforcement Actions ,
FinCEN ,
Insider Trading ,
Instant Messaging Apps ,
Investment Adviser ,
Marketing ,
Material Nonpublic Information ,
Registered Investment Advisors ,
Regulation S-P ,
Risk Alert ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Text Messages
The SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers Act”)....more
5/1/2024
/ Advertising ,
Civil Monetary Penalty ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Marketing ,
Policies and Procedures ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Settlement
The SEC recently announced charges against Senvest Management, LLC (“Senvest”), a registered investment adviser with approximately $3 billion in regulatory assets under management, for failures to maintain and preserve...more
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