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
On August 23, 2023, the Securities and Exchange Commission (“SEC”) adopted new rules and rule amendments (the “Final Rules”) under the Investment Advisers Act of 1940 (“Advisers Act”) to enhance the regulation of private fund...more
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
On February 15, 2023, the Securities and Exchange Commission (the “SEC”) proposed changes that would amend and re-designate Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”) as...more
In 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed numerous new and amended rules (“proposals”) that would apply to SEC-registered investment advisers (“Registered Advisers”), including private fund...more