Annual Review

You should not want for new ideas as to how to tweak your next annual review of your compliance policies and procedures. The last few ...

Investment Company Act of 1940 – Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 ...

This is the final SEC rule commonly known as "the compliance rule." It establishes compliance obligations for investment advisers and investment companies. It came out ...