Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
You may not include disclosure in the relationship summary other than disclosure that is required
The SEC has been reaching out to firms to talk about COVID-19
Has your CCO changed in the last year?
A revised form would require the disclosure of the compensation paid to investment advisers
Look out for traps in nursing home contracts
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
Documents supporting RAUM figure found to be misleading
IAs and B-Ds would have to have “sufficient information to evaluate an Offeree’s financial circumstances and sophistication
Industry comments signal an organized campaign to deluge the SEC and steer the regulator away from going through with proscribed compliance due diligence steps