Trisha Sircar

Trisha Sircar

Katten Muchin Rosenman LLP

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Client Alert: Proposed SEC Rules for Investment Advisers and Regulated Funds, and New FTC Safeguard Rule Applicable to Private...

On February 9, 2022, the Securities and Exchange Commission (SEC) voted to propose new rule 206(4)-9 under the Investment Advisers Act of 1940 (Advisers Act) and 38a-2 under the Investment Company Act of 1940 (collectively...more

3/4/2022  /  Broker-Dealer , Cybersecurity , Fiduciary Duty , Investment Adviser , Investment Advisers Act of 1940 , New Rules , Retail Investors , Securities and Exchange Commission (SEC)
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