On September 20, 2023, the US Securities and Exchange Commission (SEC) voted by a 4-1 margin to adopt amendments to Rule 35d-1, commonly known as the “names rule” (Rule), under the Investment Company Act of 1940, as amended...more
In a Legal Alert issued before yesterday’s SEC Open Meeting, we posed questions relating to six things that our Investment Services team would be looking for. We now have answers to some of those questions....more
The US Securities and Exchange Commission (SEC) is holding an open meeting this Wednesday, August 23, to consider whether to adopt proposed rules under the Investment Advisers Act of 1940 that, if adopted as proposed, would...more
8/22/2023
/ Audits ,
Compliance ,
Disclosure Requirements ,
Fees ,
Financial Statements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Private Funds ,
Proposed Amendments ,
Proposed Rules ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
In a Legal Alert issued before the SEC open meeting, we posed five questions that our Investment Services team would be looking out for as part of this meeting. We now have answers to some of these questions....more
7/31/2023
/ Analytics ,
Artificial Intelligence ,
Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Proposed Rules ,
Regulation BI ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Standard of Care ,
Technology