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SEC Breaks its Silence on the New Marketing Rule's Net Performance Requirements

USA - January 18 2023 The SEC staff has issued an FAQ related to amended Rule 206(4)-1 under the Investment Advisers Act (the “Marketing Rule”) clarifying that the…

Robert E Plaze, Robert H. Sutton

Regulation of Custodial Practices Under the Investment Advisers Act of 1940 Rule 206(4)-2

USA - November 22 2022 The SEC has regulated custodial practices of investment advisers since 1962, when it first adopted rule 206(4)-2 (the “Custody Rule”) under the…

Robert E Plaze

SEC Issues Risk Alert Announcing Exams Focused on New Marketing Rule

USA - September 22 2022 On Monday, September 19, 2022, the SEC's Division of Examinations issued a Risk Alert announcing their intent to conduct targeted reviews of…

Robert E Plaze, Robert H. Sutton

SEC proposes ESG reporting and disclosure requirements for private fund advisers

USA - June 13 2022 On May 25, the Securities and Exchange Commission (“SEC”) issued proposed rules under the Investment Advisers Act of 1940 (“Advisers Act”) for…

Robert E Plaze, Robert H. Sutton