In a recent risk alert, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) stated that it intends to examine compliance oversight and controls of registered investment advisers that employ individuals with disciplinary histories ...

Seward & Kissel LLP


40 Act Blog - 5 new articles


OCIE Undertakes Initiative to Examine Registered Investment Advisers that Employ Individuals with a History of Disciplinary Events

In a recent risk alert, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) stated that it intends to examine compliance...

Read the whole entry »

      
 


SEC Issues No-Action Relief in Connection with the Purchase of an Investment Adviser

In a recent no-action letter, the staff of the Division of Investment Management of the Securities and Exchange Commission (the “Staff”)...

Read the whole entry »

      
 


SEC Adopts Rule Amendments to Enhance Information Reported by Investment Advisers

On August 25, 2016, the Securities and Exchange Commission (the “SEC”) adopted amendments to Form ADV and the Books and Records Rule to enhance...

Read the whole entry »

      
 


Investment Adviser Settles Charges of Failing to Disclose Key Terms in Application for Exemptive Relief

The Securities and Exchange Commission ("SEC") recently announced its settlement of charges against a registered investment adviser (the "Adviser")...

Read the whole entry »

      
 


FINRA Seeks Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules

FINRA has issued Regulatory Notice 16-29 (the “Notice”) seeking comment on proposed amendments to FINRA Rule 3220 (Influencing or Rewarding...

Read the whole entry »

      
 


More Recent Articles



Click here to safely unsubscribe from "40 Act Blog."
Click here to view mailing archives, here to change your preferences, or here to subscribePrivacy