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This is FinCEN's proposal that would require investment advisers and private funds to report certain real estate transactions
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The SEC proposes a rule to adjust for inflation the dollar threshold used in defining a ‘‘qualifying venture capital fund’’ under the Investment Company Act
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The Reg BI violations affected about 5,900 retail accounts, causing the clients to pay $936,000 more in expenses for substantially equivalent funds than they otherwise ...
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Gain takeaways from this 2024 SEC exam letter
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Eye an SEC exam document request letter from an ongoing exam
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The Influencer’s planned involvement and the details of the anticipated licensing arrangement were not disclosed to the independent trustees of the VanEck ETF Trust for ...
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These reports are expected to assist the Treasury, Federal, State, and local law enforcement and national security agencies in addressing illicit finance vulnerabilities in the ...
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In the new legal cases targeting advisers, the SEC cited their responsibilities under Advisers Act section 204 (reports by IAs) and the books and records ...
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The Commission’s new regulatory agenda lists several upcoming new IA and B-D rules—all of which the agenda states are due to be finalized in April
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See what's inside FinCEN's new AML rule proposal for IAs, more reasons to be on top of off-channel communications, the demands of the new Form ...
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