Latest Breaking News On - New investment adviser marketing rule - Page 1 : comparemela.com

Top Tips for Updating Your 2024 Compliance Program | SEC Compliance Consultants, Inc (SEC³)

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is.

United statesLarge hedge fund advisersSecurities exchangeFormn pxunder the investment companyQuarterly reporting for private equity fund advisersLarge private equity fund advisersBranch officesFund managersTechnology riskSecurities exchange act ruleDivision of examinationsAdvisers act ruleChief compliance officersRestricted activities rulePreferential treatment ruleAdviser led secondaries rule

What to Expect with Upcoming SEC Sweeps

The SEC staff previewed the sweep exams in a September risk alert that outlined portions that it intends to focus on when exams begin. Staff also suggested initial sweeps will be used as a tool to better understand current industry approaches before more guidance.

Investment company senior officers novExchange commissionMarketing rule panelDivision of examinationsPerformance of individual holdingsCompliance outreach programDivision of investment managementModernized marketing ruleInvestment advisersMarketing ruleInvestment managementAdvisers act ruleRecordkeeping ruleRemain openStandards conferenceSharpe ratio

Advisers Act Marketing Rule Compliance Deadline Fast Approaching: Key Preparations and Considerations for Compliance | Dechert LLP

The November 4, 2022, deadline for advisers to implement amended Rule 206(4)-1 (Marketing Rule) and related rules under the Investment Advisers Act of 1940 is fast approaching. Advisers.

Stephen rutmanDivision of examinationsInvestment companyParty ratingsStaff of the division examinations examsDivision of investment managementMarketing ruleInvestment advisers actInvestment company actDechert newsflashAdvisers actAdvertising ruleCash solicitation ruleCompliance dateCash solicitation rulesRisk alert

Withdrawal of SEC Staff Guidance and Letters Related to Fund Fair Valuation Rule and Adviser Marketing Rule | Seward & Kissel LLP

Withdrawal of SEC Staff Guidance and Letters Related to Fund Fair Valuation Rule and Adviser Marketing Rule | Seward & Kissel LLP
jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.

Seward kisselRule to modernize fund valuation practicesFund fair valuation ruleInvestment companyInvestment advisers actAdviser marketing ruleInvestment company actModernize fund valuation practicesStaff statementsNew investment adviser marketing ruleInformation updateAdviser marketing

Marketing Rule Implementation – Are You Ready for November 4th? | Morrison & Foerster LLP

The compliance date for the SEC’s new investment adviser Marketing Rule is November 4, 2022, allowing just over a month for an investment adviser to finalize its implementation process.

Morrison foerster llpParty communicationsFund advisersDivision of examinationsDivision of examinations risk alert septMorrison foersterMarketing ruleSolicitation activityRisk alertChief compliance officerInvestment advisers actAdvertising ruleExaminations focusedNew investment adviser marketing ruleExaminations risk alert