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AML/CFT Rules for Investment Advisers | JD Supra
JD Supra· 6 days agoOn 12 June 2024, K2 Integrity and Schulte Roth & Zabel hosted a webinar discussing new regulatory obligations anticipated under proposed rules for investment advisers (IAs ...
JD Supra: New Privacy and Cybersecurity Obligations for Private Fund Sponsors and Managers
JD Supra· 4 days agoWhile many registered investment advisers will conclude that their existing policies and procedures already address much of the new requirements ...
JD Supra: New Proxy Voting Reporting Requirements For Investment Managers For 2023-24 Annual Meeting...
JD Supra· 4 days agoSecurities and Exchange Commission (SEC) announced the adoption of amendments to Form N-PX and related rules to extend public company stockholder vote disclosure filing requirements ...
Redwood Investment Management's Redwood Real Estate Income Fund Celebrates Outstanding First Year
KNDO - KNDU Tri-Cities· 3 days agoFund is designed to offer all investors, including non-accredited and non-qualified individuals, access to private real estate debt through a single ticker, CREMX. This innovative fund features ...
Fuchs Financial: The Retirement Savings Survey Says…
WTNH-TV New Haven· 21 hours agoHARTFORD, Conn. (WTNH) – Connecticut’s Morning Buzz’s Rachel Lutzker recently met with Ben Fuchs, founder of Fuchs Financial, who shared his expertise on...
Understanding the Enhanced Regulation S-P Requirements | JD Supra
JD Supra· 6 days agoThe amendments apply to broker-dealers, investment companies, and registered investment advisers (collectively, “covered institutions ...
FAQs on SEC’s Private Fund Adviser Rules After Fifth Circuit Decision | JD Supra
JD Supra· 5 days agoAs most fund managers have likely heard by now, on June 5, 2024, the US Court of Appeals for the Fifth Circuit vacated the private fund adviser rules that the Securities and Exchange Commission ...
Amendment To QPAM Exemption | JD Supra
JD Supra· 3 days agoThe Department of Labor (DOL) recently issued a final amendment (“Final Amendment”) to Prohibited Transaction Exemption (PTE) 84-14, which is otherwise known as the “QPAM Exemption.” The QPAM ...
JD Supra: The New Fiduciary Rule
JD Supra· 5 days agoAs a result, beginning on September 23, one-time recommendations to retirement investors can be fiduciary advice and, where the advice is conflicted, the investment professional ...
Forget About Stocks — Young Investors Love Collectibles and Crypto
Modesto Bee· 3 days agoYounger Americans are embracing greater diversification in their holdings. ***Money is not a client of any investment adviser featured on this page. The information provided ...
