AdminNov 6, 20193 minSEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment AdvisersSEC proposals and proposed amendments that would modernize the rules addressing investment adviser advertisements.
AdminJun 5, 20193 minKeep Current with Compliance - 4 Topics for June 2019Compliance4 is dedicated to helping you build the foundation for a strong compliance program and a culture of compliance.
AdminDec 18, 20182 minHow Not to Get Zapped by Electronic CommunicationsOn Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages advise...
AdminJul 24, 20185 minIt's Not Over Until It's Over - Liquidity Risk Classification Outreach Continues!On June 28, 2018, the SEC updated its investment company liquidity risk management program disclosure rules (Release No. IC-33142). The r...
AdminMar 19, 20183 minSEC is Listening to the Mutual Fund Industry and Requests CommentsOn Wednesday, March 14, 2018, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 22e-4 and Form N-PORT, which is ...
AdminFeb 23, 20182 minSEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim RuleThe SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and Fo...
AdminFeb 16, 20182 minSEC to Hold National Compliance Outreach SeminarPress Release from: https://www.sec.gov/news/press-release/2018-17 SEC to Hold National Compliance Outreach Seminar for Investment Compan...
AdminFeb 16, 20181 minSEC - Sunshine Act Meeting Notice - Liquidity Risk Delay Under ConsiderationFrom: SEC.gov https://www.sec.gov/news/openmeetings/2018/ssamtg022118.htm Securities and Exchange Commission Sunshine Act Meeting. TIME A...
