SEC Adopts Amendments to the Investment Company Act Names Rule
The SEC has adopted amendments to the Investment Company Act Names Rule to address its concerns about fund names that are likely to mislead investors about a fund’s investments and risks.
September 21, 2023
SEC Announces Enforcement Actions Resulting from “Sweep into Marketing Rule Violations”
The SEC announced enforcement actions against nine advisers under the Marketing Rule in connection with advertising hypothetical performance.
September 12, 2023
SEC Risk Alert on Selecting and Scoping Adviser Examinations
SEC staff has published a Risk Alert on how the SEC selects advisers to examine and determines the scope of risk areas to examine.
September 07, 2023
SEC Charges Five Private Fund Advisers with Custody Rule and Form ADV Violations
The SEC charged five private fund advisers with custody and Form ADV deficiencies.
September 07, 2023
SEC to Require Written Documentation of Annual Review
The SEC has amended Compliance Rule 206(4)-7 to require that annual reviews for all SEC-registered advisers be documented in writing.
September 06, 2023
This article highlights the challenges advisers face around the current state of ESG investing and regulation and the considerations of disclosure, data, and portfolio management issues.
August 30, 2023
Massachusetts Supreme Judicial Court Upholds Fiduciary Duty Rule for Broker-Dealers
The regulation, challenged by Robinhood, requires broker-dealers to act as fiduciaries when providing investment advice to clients.
August 30, 2023
The SEC adopted its groundbreaking rulemaking package for private fund advisers, which governs quarterly statements, restricted activities, preferential treatment, audits and more, as well as a new rule that requires all advisers – not just private fund advisers – to document their annual compliance program reviews.
August 28, 2023
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