Rules and Regulations

  • Spending Bill Includes Reforms Impacting Business Development Companies

  • SEC Proposes Enhanced Standards for Advice to Retail Investors

Industry Update

  • Dalia Blass Delivers Keynote Address at ICI 2018 Mutual Funds & Investment Management Conference

  • OCIE Issues Risk Alert on Most Frequent Advisory Fee and Expense Compliance Issues Identified in Investment Adviser Examinations

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