Effective June 29, the dollar amount of the AUM test for performance fees increases from $1.1 million to $1.4 million, and the net worth test ...
'It’s good to have a compliance officer involved in all of these controls,' as well as with key decisions related to sales and marketing disclosures
With this proposal, an administration intent on relieving industry burdens runs straight into those who decry the risk to investors
Here are the 18 changes the SEC proposes to make to Form PF
The no-action letter sketches out what you must do to comply with its dictates
More on how the SEC proposes to revise Form PF, strategies for tackling conflicts, advocates and opponents on the SEC's proposed Form N-PORT changes, and ...
"The task of allocating capital is simply too important for government or any other single entity to manage. Here is where private capital markets of ...
"Giving companies the option to file their regulatory reports quarterly or semiannually affords flexibility based on their industry, business model, and investor expectations"
"A duck gliding gently across a still pond exudes calmness. But what you don’t see, just under the water’s surface, are two webbed feet paddling ...
If you’re keeping score at home, it’s one win each for the adviser versus the ex-reps in a breach of contract lawsuit. But the game’s ...