Hugh Kennedy
The IAA suggests the SEC use the number of employees as the appropriate standard for determining the impact of its regulations on small advisers.
Form ADV data and industry snapshot reveal that nearly 40 percent of advisers include performance information in their ads.
The proposed rule aimed at the oversight of third-party service providers now has a timetable for final action of April 2024.
Private fund adviser charged with failing to disclose conflicts and making material misstatements and omissions tied to SPACs.
Fund of funds arrangements, derivatives, fund valuation, advertising and solicitation are all on the agenda.
'PE firms that place employees on the boards of public companies bear heightened risks that they will obtain nonpublic material information through their representative occupying dual roles,' warned an SEC official.
The Securities and Exchange Commission remains 'fully operational.'
Continually assessing your firm's cyber resiliency methodology is recommended.
The sanctioning of Ocean Cross Capital Markets' Thaddeus North illustrates perils facing small firm compliance officers.
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