The Securities and Exchange Commission adopted new and amended rules under the Investment Advisers Act of 1940 (“Final Rules”) in August 2023 that will impose a broad set of new reporting, disclosure and other obligations on...more
10/13/2023
/ Audits ,
Books & Records ,
Documentation ,
Fees ,
Final Rules ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Offshore Companies ,
Private Funds ,
Quarterly Report ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
UCITS
Today, the Securities and Exchange Commission adopted new and amended rules under the Investment Advisers Act of 1940, as amended (Final Rules) that will significantly reform the scope of reporting, disclosure and other...more
8/24/2023
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Compliance ,
Consumer Protection Act ,
Disclosure Requirements ,
Dodd-Frank ,
Final Rules ,
Investment Advisers Act of 1940 ,
Investment Portfolios ,
Private Funds ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission, by a vote of four-to-one, proposed a major overhaul of the investment adviser custody rule on February 15, 2023. The proposal would amend and redesignate Rule 206(4)-2 under the...more