comparemela.com

Latest Breaking News On - Investment advisers act rule - Page 1 : comparemela.com

SEC Division of Examinations Risk Alert: Initial Observations Regarding Advisers Act Marketing Rule Compliance | Dinsmore & Shohl LLP

On April 17, 2024 the Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) issued a Risk Alert regarding investment advisers’ compliance with amended.

Dinsmore shohlDivision of examinations theExchange commissionRisk alertInvestment advisers act ruleMarketing rule itemsAdvisers act ruleMarketing ruleAdopting releaseRecords ruleCash solicitation ruleMaterial factUnsubstantiated statementsMaterial factsBalanced treatmentMaterial risks

Recent Pay-to-Play Settlement: Notwithstanding a Strong Dissent Over 206(4)-5 Overbreadth, the Need for Strong Compliance Policies Persists | WilmerHale

With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of.

MinnesotaUnited statesTennesseeHester peirceYork republican state committeeSupreme courtWayzata investment partnersUs courtTennessee republican partyExchange commissionInvestment advisers act rulePay to play ruleCommissioner hester peirceBetter wayMunicipal securities rulemaking boardYork republican state

Securities And Exchange Commission Brings First Enforcement Actions Over

On March 18, 2024 the SEC announced that it had settled charges in separate actions against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc. for making false or misleading statements regarding their use of AI.

TorontoOntarioCanadaUnited statesExchange commissionProgram on corporate complianceDivision of examinationsDivision of enforcementDelphia united states incGlobal predictionsInvestment advisers actInvestment advisers act ruleAdvisers act ruleMarketing ruleAdvisers actCompliance manager

RIA Regulatory Review | Dorsey & Whitney LLP

This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers.

Dorsey whitneySecurities exchangeBranch officesLarge hedge fund managersDivision of examinationsSecurities exchange actMarketing rule focusInvestment advisers act ruleMarketing ruleSafeguarding customer recordsInvestment adviserValuation complianceCare obligationsInvestment advisersto retailEthics quarterly transaction reportsHedge fund

Recent Exemptions from Rule 206(4)-5 Demonstrate the Importance of Strong Compliance Policies and Quick Corrective Action | WilmerHale

Recently, the Securities and Exchange Commission (SEC) has demonstrated its willingness to largely forgo the strict consequences of Investment Advisers Act Rule 206(4)-5 (the.

BostonMassachusettsUnited statesColoradoCity of bostonExchange commissionInvestment advisers act rulePay to play rule

vimarsana © 2020. All Rights Reserved.