On August 23, 2023, a divided Securities and Exchange Commission (SEC) adopted far-reaching new rules and rule amendments under the Investment Advisers Act of 1940, as amended (Advisers.
Besides traditional means of communication, financial services companies communicate with their stakeholders through off-channel channels like social media, instant messaging, email,.
The SEC has proposed new rules designed to regulate potential conflicts of interest associated with broker-dealers’ and investment advisers’ use of certain AI-related technologies in.
The SEC adopted its much anticipated private fund reforms on August 23, 2023. These reforms include several quarterly reporting requirements with respect to performance and fees and expenses.