A series of recent actions by the Securities and Exchange Commission (SEC) and its staff should prompt registered investment advisers (RIAs) to reassess their risk tolerance for some.
On September 6, 2023, the staff of the US Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) issued a risk alert describing how it selects.
September 6, 2023- The U.S. House Committee on Financial Services announced a hearing entitled, "Oversight of the Committee on Foreign Investment in the United States (CFIUS).