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IM Guidance (46)
Your search for IM Guidance returned 46 results.
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2/23/2017 | Content area: Investment Adviser
Given the “unique challenges and opportunities” for robo-advisers, the SEC’s Division of Investment Management issued guidance suggesting compliance s...
1/05/2017 | Content area: Investment Adviser
There appears to be no interest at the SEC to push a uniform fiduciary duty standard but the agency has had to acknowledge that the Labor Department’s...
11/23/2016 | Content area: Investment Adviser
Stating that it’s answering questions it has long received, the SEC’s Division of Investment Management has released new guidance geared to helping ad...
11/21/2016 | Content area: Investment Adviser
Through this guidance, the staff seeks to address the following instances in which an investment adviser may be able to rely on special registration p...
1/06/2016 | Content area: Investment Adviser
Many of the issues discussed in this guidance were brought into focus by a recent sweep examination of a number of mutual fund complexes, investment a...
10/01/2015 | Content area: Investment Adviser
The Division understands that the operation of State escheatment statutes has resulted in States owning Employees’ Securities Companies’ securities. A...
6/26/2015 | Content area: Investment Adviser
This release from June 2015 recommends compliance staff dig deeper when determining that an access person's trading doesn't need review because it qua...
4/28/2015 | Content area: Investment Adviser | Private Fund
This guidance update from the SEC's Division of Investment Management includes best practice suggestions for how firms can deal with cybersecurity.
2/24/2015 | Content area: Investment Adviser
This guidance from the Division of Investment Management encourages fund compliance personnel to maintain P&Ps about gifts and entertainment. The Inve...
12/22/2014 | Content area: Investment Adviser
Division staff has been asked whether certain trust decision-making powers can be bifurcated between a key employee and a non-key employee. Division s...
12/01/2014 | Content area: Investment Adviser
The staff is issuing this guidance in response to a public inquiry that the staff has received concerning a BDC’s co-investment transactions. The guid...
10/31/2014 | Content area: Investment Adviser
This Guidance Update provides the views of the Division’s Chief Accountant’s Office regarding the presentation of consolidated financial statements fo...
10/24/2014 | Content area: Investment Adviser
In the staff’s view, a mutual fund is not required to obtain a “mixed and shared funding” order prior to offering its shares as an investment option u...
6/01/2014 | Content area: Investment Adviser
Recently, the staff has become aware that certain BDCs have sought to rely on this limited relief in connection with SBICs that have not issued indebt...
6/01/2014 | Content area: Investment Adviser
The staff is providing this guidance related to the Commission’s enhanced mutual fund disclosure amendments adopted in 2009.1 This guidance is based o...
6/01/2014 | Content area: Investment Adviser | Private Fund
The Division receives inquiries, and the Commission’s Office of Compliance Inspections and Examinations has identified issues in examinations, regardi...
6/01/2014 | Content area: Investment Adviser
The 1940 Act generally provides for the use of series, but does not specifically address all of the different aspects of applying its requirements to ...
4/04/2014 | Content area: Investment Adviser | Private Fund
This is guidance released in 2014 by the Division of Investment Management having to do with an aggregate fee rate under a multi-manager structure.
4/02/2014 | Content area: Investment Adviser
The SEC's Division of Investment Management's 2014 guidance on the use of social media and what may or may not be considered a testimonial.
4/01/2014 | Content area: Investment Adviser
The staff has observed that a significant number of these comments relate to a handful of Items on the Form. In order to assist applicants in completi...


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