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An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials
The commission’s proposals could cause fundamental shifts in standard practice and market structure, if turned into final rules.
The impact of inflation and greater regulation is putting more pressure on managers to keep up with tax and accounting rules.
Advertising/marketing ranked as the 'hottest' topic for a second straight year in an annual survey conducted by ACA Group, Yuter Compliance Consulting and the Investment Adviser Association.
SEC alumni at ACA webinar say detailed notes of calls and 'chaperoning' are the best protective steps against potential enforcements.
The SEC has released no new staff guidance for 16 months on its proposed changes to marketing rules for investment advisers, worrying CCOs in the market.
Regulation-is-coming
Sponsors or GP-led secondaries processes should take care in the language they use to explain why they want to hold an asset for longer, writes Thiha Tun, a partner at Dechert.
Stricter Form D deadlines, increased thresholds, disclosure conditions all under review, sources say.
regulation Securities and Exchange Commission SEC GPs
Only about 17% of respondents to an EisnerAmper webinar poll said they were ‘very prepared’ for the proposed regulations.
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