The Securities and Exchange Commission (SEC) has proposed a new rule and related amendments designed to streamline and enhance the regulatory framework for "fund of funds" arrangements....more
2/15/2019
/ 529 Plans ,
Anti-Money Laundering ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Elder Issues ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Form N-CEN ,
Initial Coin Offering (ICOs) ,
Investment Funds ,
Investment Management ,
MSRB ,
OCIE ,
Popular ,
Retail Investors ,
Risk Management ,
Robo-Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Token Sales
Here in is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry....more
12/12/2018
/ Annuities ,
Cryptocurrency ,
Cybersecurity ,
Enforcement Actions ,
Hedge Funds ,
Initial Coin Offering (ICOs) ,
Institutional Shareholder Services (ISS) ,
Investment Adviser ,
Investment Management ,
Investment Opportunities ,
Investment Products ,
Life Insurance ,
Mutual Funds ,
No-Action Letters ,
Opportunity Zones ,
Private Equity ,
Proxy Advisors ,
Regulatory Agenda ,
Regulatory Burden ,
Securities and Exchange Commission (SEC) ,
Tax Exemptions ,
Wealth Management