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Venture Capital Fund Managers’ Guide to Applying the Latest Marketing Rule Risk Alert | JD Supra
JD Supra· 5 days agoDepending on a firm’s status as a registered investment adviser (RIA) or an exempt reporting adviser (ERA), the precise requirements ...
SEC Risk Alert on Compliance with the Marketing Rule-Examination Observations | JD Supra
JD Supra· 2 days agoRegarding Advisers Act Marketing Rule Compliance” (the “Alert”). This Alert reinforces prior Division publications[1]that addressed SEC-registered investment</ ...
Top Tips for Updating Your 2024 Compliance Program | JD Supra
JD Supra· 2 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· 1 day 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· 2 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
The National Law Review· 2 days agoMany investment advisers and other financial institutions rely on the Department of Labor’s QPAM...
Strategic Financial Management for Nonprofits
Digital Journal· 2 days agoFragasso Financial Advisors, a premier investment management and financial planning firm, is proud to announce its continued commitment to providing specialized ...
Fiduciary Rule Regs May Cut $5,000 in Annual Fees per Annuity Pro: DOL | ThinkAdvisor
ThinkAdvisor· 7 days agoThe definition could affect a total of about 1,577 career insurance agents, 86,410 independent...
Fact Sheet: Retirement Security Rule and Amendments to Class Prohibited Transaction Exemptions for ...
U.S. Department of Labor· 5 days agoOn April 23, 2024, the U.S. Department of Labor released the Retirement Security Rule defining who is an investment advice fiduciary for purposes of the Employee Retirement ...
SEC Settles Charges with Investment Adviser for Off-Channel Communications Recordkeeping Failures |...
JD Supra· 7 days agoThe SEC’s order stated that, from at least January 2019 through December 2021, Senvest employees at various levels of authority communicated about firm-related business internally and externally ...