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SEC Settles with Five Investment Advisers for Marketing Rule Violations | JD Supra
JD Supra· 3 days agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the...
JD Supra: Securities Laws Fundamentals for Venture Capital Fund Managers
JD Supra· 18 hours agoThis post is intended to provide a quick introduction to the main securities laws that will apply to the fund, the management company and the fundraising process. Given the variables that can ...
SEC Risk Alert on Compliance with the Marketing Rule-Examination Observations | JD Supra
JD Supra· 5 days agoRegarding Advisers Act Marketing Rule Compliance” (the “Alert”). This Alert reinforces prior Division publications[1]that addressed SEC-registered investment</ ...
JD Supra: SEC Adopts Third Set of Amendments to Form PF
JD Supra· 2 days agoThe latest round of revisions to Form PF made a stealthy arrival, with the SEC announcing in mid-February that it adopted the updates without an in-person vote. As the third set of amendments ...
Top Tips for Updating Your 2024 Compliance Program | JD Supra
JD Supra· 5 days agoEvery year compliance officers face the unenviable job of performing their compliance program's...
Write the Best Annual Compliance Review Ever! | JD Supra
JD Supra· 4 days agoMany chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. Under Rule 206(4)-7, federally registered < ...
SEC Department of Examinations Issues Risk Alert on Marketing Rule Deficiencies | JD Supra
JD Supra· 5 days agoLast week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations...
QPAM Exemption Amendment—Key Takeaways and Action Steps for Advisors and Other Stakeholders | JD...
JD Supra· 3 days agoMany investment advisers and other financial institutions rely on the Department of Labor’s QPAM Exemption when providing services to, and transacting with, employer-sponsored ...
Is it Time to Test Your Recordkeeping and Code of Ethics? | JD Supra
JD Supra· 3 days agoWashington D.C., April 3, 2024, the SEC announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures ...
Sheaff Brock Adds Experienced Equity & Derivatives Trader
KTLA-TV Los Angeles· 3 days agoSheaff Brock announced the addition of Nathan Harshman as Senior Equity & Derivatives Trader to its investment team. In this role, Nathan will be responsible for managing ...