On March 27, 2023, the Securities and Exchange Commission’s (SEC’s) Division of Examinations issued a Risk Alert setting forth typical focus areas reviewed by the staff during its examinations of newly registered advisers....more
On February 15, 2023, the Securities and Exchange Commission (SEC) proposed new rules and amendments (Proposal) to Rule 206(4)-2 (Custody Rule) under the Investment Advisers Act of 1940 (Advisers Act)....more
3/26/2023
/ Client Assets ,
Custodians ,
Custody Rule ,
Digital Assets ,
GAAP ,
Investment Advisers Act of 1940 ,
New Amendments ,
New Rules ,
Recordkeeping Requirements ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Segregation Requirements ,
Written Agreements
On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed a new Rule 206(4)-11 and amendments to Rule 204-2 under the U.S. Investment Advisers Act of 1940 (Advisers Act), as well as amendments to Form...more