investment advisers Tag

For ESG investment managers with Australian products in their portfolios, ASIC notes the following about what lies ahead. Acknowledging that…

Background read – in case you missed it: Investment compliance offices might take note of proposed regulatory changes that would…

In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…

As a follow up to our Coffee & Regs Podcast episode found here, we wanted to advise RIA that the…

We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather…

The new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940) is effective on May 4, 2021, starting…

In late 2022, SEC registered investment advisers will be required to comply with new marketing and client solicitation rule-making, adopted…

We have learned of a potentially major change for New York state and federally covered investment advisers. The New York…

One week after the SEC adopted Regulation Best Interest and Form CRS, a Cincinnati roundtable hosted by Fort Washington Investment…

By a 3-1 vote, on June 5, 2019, the SEC acted to provide a new regulatory framework to help retail,…

Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….

On October 31, OCIE issued a new Risk Alert for investment advisers with solicitor arrangements. The SEC periodically releases risk…