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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</ ...
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 ...
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 < ...
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...
Goodbye “Five-Part Test”—DOL Finalizes New Investment Advice Fiduciary Rules | JD Supra
JD Supra· 6 days agoOn April 23, 2024, the Department of Labor (“DOL”) issued final rules which expand what it means to provide fiduciary “investment advice” under the Employee Retirement Income ...
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 ...
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...
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...
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 ...
