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
The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert on December 14, 2018 concerning the use of electronic messaging by registered...more
1/25/2019
/ Books & Records ,
Bring Your Own Device (BYOD) ,
Commercial Electronic Messages ,
Compliance ,
Data Security ,
Electronic Communications ,
Employee Training ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
OCIE ,
Policies and Procedures ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Supervision ,
Third-Party