The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert earlier this month from its national examination program warning investment advisers of the most common...more
9/24/2019
/ Brokers ,
Cross Trading ,
Disclosure Requirements ,
Failure to Comply ,
Fiduciary Duty ,
Form ADV ,
Investment Advisers Act of 1940 ,
Investment Management ,
OCIE ,
Private Funds ,
Risk Alert ,
Securities Regulation ,
Securities Transactions
The Investment Management Update keeps you apprised of recent developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management...more
6/18/2019
/ Best Interest Standard ,
Broker-Dealer ,
Business Development Companies ,
Conflicts of Interest ,
Disclosure Requirements ,
ETFs ,
Financial Regulatory Reform ,
Financial Services Industry ,
Investment Adviser ,
Investment Management ,
Offerings ,
Regulation S-P ,
Retail Investors ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Standard of Care
Rewards and Risks in Opportunity Zone Funds -
H.R. 1—informally known as the Tax Cuts and Jobs Act—became law on December 22, 2017. Included in the Act is a new program intended to spur the reallocation of investments...more
9/11/2018
/ Best Execution ,
Community Development ,
Economic Development ,
Exchange-Traded Products ,
Investment Funds ,
Investment Management ,
Low Income Housing ,
Low-Income Issues ,
Mutual Funds ,
New Market Tax Credits ,
OCIE ,
Opportunity Zones ,
Real Estate Development ,
Risk Alert ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
State and Local Government ,
Tax Cuts and Jobs Act ,
Tax Deferral ,
Trump Administration