Heather Ayers
The SEC issues its first four FAQs related to fund of funds
View the process as 'a last opportunity' to shape the direction Enforcement will take
For advisers, the case bears watching because 'from an adviser’s perspective, while offering alternative investments in Plan A may be prudent, offering those same investments ...
It's not likely advisers will have to file via EDGAR due to the new law, but if you do, the deadline is March 18
Encouragement to use the Wells Process should trouble arise, valuation issues remain hot with regulators, a High Court case worth your attention and much more
"Of course, private markets are not without uncertainty. But the presence of risk is not grounds for the perpetuation of exclusion"
"We established the SEC’s AI Task Force in August to facilitate the development and deployment of AI across the Commission. This includes tools to conduct ...
This new SEC final rule, which takes effect March 18, aids compliance with the new Holding Foreign Insiders Accountable Act. This new law requires directors ...
A peer shares this document to help staff assess the financial and personal situation of aging clients
Sample this COE and you may grab some ideas for improving yours