In this issue, we discuss the SEC Examinations Division’s risk alert regarding compliance with the Advisers Act Marketing Rule, and recent enforcement actions involving, among other thi...
In this issue, we discuss recent enforcement actions involving investment advisers that allegedly made false and misleading statements about their use of artificial intelligence.
In this issue, we discuss among other things updated FAQs regarding compliance with the marketing rule under the Advisers Act, and amendments to Form PF.
FinCEN issued its long-awaited proposed rule that would impose AML/CFT obligations on certain investment advisers, such as requirements to implement and maintain an AML/CFT compliance pro...
While scaled back from the original proposal, the final rules expand the scope of firms required to register as dealers as a result of engaging in trading activity that has “the effect?...
In this issue, we discuss a risk alert issued by the SEC’s Division of Examinations regarding investment adviser examinations, and recent enforcement actions involving advisers, conflic...
