Home Investment Advisers IA Rules & Regulatory Actions

IA Rules & Regulatory Actions

The Commission publishes its regulatory agenda
Deccan lacked reasonably designed policies and procedures specifically addressing client and investor redemptions, creating or liquidating an LSPV, or balancing the associated conflicts of interest ...
This final rule rescinds certain guidance that the Commission issued to investment advisers about their proxy voting obligations
The SEC adopts rules to convert the filing of certain applications, confidential treatment requests, and forms from paper to electronic submission

Copyright PEI Media

Not for publication, email or dissemination