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FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 11 hours agoOn May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would require SEC-
Fund Sponsors and Placement Agents – Navigating Broker-Dealer Issues | JD Supra
JD Supra· 11 hours agoFund sponsors often engage investment banking or placement firms to help raise capital or generate deal flow for their funds. Many sponsors and advisors ...
Key Steps for Fund Managers to Avoid Scrutiny Under the SEC’s Pay-to-Play Rule
The National Law Review· 2 hours agoThe SEC’s recent settlement involving a “pay-to-play” rule violation by a private equity firm is a...
Request for Comments on FinCEN and SEC rule on CIP | JD Supra
JD Supra· 5 days agoReg. 44571, requesting comments on the proposed requirement that certain investment advisers (“RIAs”) and exempt reporting advisors ( ...
Why Retirement Plan Sponsors and Fiduciaries Need to Know about the SEC Cybersecurity Amendments |...
JD Supra· 11 hours agoIn 2021, the Department of Labor (DOL) issued cybersecurity guidance for ERISA-covered retirement plans. The guidance expands the duties retirement plan fiduciaries have when selecting service ...
SEC Final Rules and the Impact on Canadian Advisers | JD Supra
JD Supra· 2 days agoInvestment Advisers Act of 1940 (the Act) in the fall of 2023 that impact the regulation of...private fund advisers (Advisers). Under the Final Rules, Advisers registered ...
SEC Amends Regulation S-P to Require Data Breach Notifications and Additional Written Policies | JD...
JD Supra· 5 days agoOn May 16, 2024, the SEC amended Regulation S-P to impose new data privacy and security requirements on broker-dealers, registered investment< ...
SEC and FinCEN Propose Customer Identification Rule for Registered Investment | JD Supra
JD Supra· 6 days agoThe Proposed Rule would require ...
JD Supra: The SEC Amends the Internet Adviser Exemption
JD Supra· 7 days agoThe Internet Adviser Exemption, which was originally adopted in 2002, is one of several exemptions adopted by rule that permits investment advisers to register< ...
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information
The National Law Review· 5 days agoOn May 16, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced the adoption of...