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SEC Compliance Consultants, Inc. (SEC³)

Compliance Roundup for April 5, 2024

SEC Compliance Consultants, Inc. (SEC³) on

Compliance Update for the week Ending April 5, 2024 - For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy!...more

Morrison & Foerster LLP

ESG Claim to Fame: Addressing Fund Names and Safeguarding Investor Expectations Under the SEC's Amended Names Rule

Morrison & Foerster LLP on

Regulators across the globe continue to focus on disclosures and marketing relating to environmental, social, and governance (ESG) issues. Consistent with this trend, on September 20, 2023, the U.S. Securities and Exchange...more

Lowenstein Sandler LLP

SEC Proposes Rule Requiring Service Provider Due Diligence and Monitoring by Registered Investment Advisers

Lowenstein Sandler LLP on

On October 26, the Securities and Exchange Commission (SEC) issued a rule release (Release) that proposed new and amended rules (Proposed Rule) under the Investment Advisers Act of 1940, as amended (Advisers Act)....more

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