Increases in AUM, Net Worth Thresholds for Qualified Clients Effective Aug. 16 August 24, 2021 The inflation adjustments that increased the assets-under-management and net worth tests in the definition...
SEC Increases AUM, Net Worth Thresholds for Qualified Clients as of August 16 June 29, 2021 The SEC has published an order that makes an inflation adjustment to the...
SEC to Increase AUM and Net Worth Thresholds for Qualified Clients May 18, 2021 The SEC has published a notice that it intends to make an inflation adjustment to...
By Christopher D. Carlson, Counsel, Seward & Kissel LLP* March 19, 2020 Christopher D. Carlson, Counsel Seward & Kissel LLP A registered investment adviser (“adviser”) that advises an investment company...
SEC to Provide Exemption for Approval of Sub-Advisory Agreements from In-Person Board Meeting Requirements Under the Investment Company Act February 7, 2020 The SEC plans to issue an order...
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