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Dual registrant regulatory roundup - May 2024 | Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - May 2024 | Eversheds Sutherland (US) 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.

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SEC Issues Risk Alert Regarding Compliance with Rule 206(4)-1, the Marketing Rule

SEC Issues Risk Alert Regarding Compliance with Rule 206(4)-1, the Marketing Rule
lexology.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from lexology.com Daily Mail and Mail on Sunday newspapers.

Division Of Examination , Exchange Commission , Risk Alert , Marketing Rule , Investment Advisers Act , Advisers Act , General Prohibitions ,

SEC Finds Advisers' Compliance With Marketing Rule Still Lacking Despite Examination And Enforcement Focus - Securities

SEC Finds Advisers' Compliance With Marketing Rule Still Lacking Despite Examination And Enforcement Focus - Securities
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Division Of Examinations , Exchange Commission , Marketing Rule , Risk Alert , Compliance Rule , Records Rule , Investment Advisers Act , Advisers Act , Adviser Marketing Rule Related , Marketing Rule Related , Adviser Form , Client Alert , Adviser Marketing ,

SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance | Seward & Kissel LLP

SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance | 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.

Division Of Examinations Exams Staff , Seward Kissel , Investment Companies , Registered Investment Companies , Investment Advisers , Marketing Rule , Advisers Act , Exams Staff , Risk Alert , Advisers Act Rule , Compliance Rule , Records Rule ,

China lifts risk alert warning on bird flu in Serbia

BEIJING (REUTERS) - China lifted the risk alert warning on bird flu in Serbia, the General Administration of Customs announced on Tuesday. "The risk alert on highly pathogenic avian influenza in Serbia will be lifted," according to a statement. The inspection and quarantine requirements for Serbian poultry and its products exported to China shall be formulated separately, the statement added. ....

Christian Schmollinger , Administration Of Customs , General Administration , Bird Flu , Risk Alert , General Administration Of Customs ,