On September 5, 2023, the SEC announced it had charged five SEC registered investment advisers (“RIAs”) with violating the Investment Advisers Act of 1940, as amended, including Rule 206(4)-2 thereunder (known as the “Custody...more
On February 15, 2023, the U.S. Securities and Exchange Commission (“SEC”) issued a proposed rule (the “Proposal”) under the Investment Advisers Act of 1940 (the “Advisers Act”), which would (i) amend certain provisions of the...more
3/20/2023
/ Comment Period ,
Custody Rule ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Agenda ,
Regulatory Reform ,
Safeguards Rule ,
Securities and Exchange Commission (SEC) ,
Securities Regulation