SEC
The Employee Retirement Income Security Act of 1974, as amended (“ERISA”) applies to investment advisors and other securities professionals who advise, manage, or trade in accounts that are considered subject to ERISA (i.e., employee benefit/retirement plans). With the recent withdrawal of the Department of Labor (“DOL”) “rollover rule,” some investment advisors have forgotten their compliance […]
Read MoreLearn about the new SEC Marketing (and solicitation) rule, and best practices for SEC investment advisers to adapt to the new rules. A must read for CCOs.
Read MoreThe U.S. Securities and Exchange Commission (SEC) Division of Examinations (formerly known as the Office of Compliance Inspections and Examinations), is responsible for examining registered investment advisers (RIA), investment companies, and private funds. In performing examinations, the SEC staff review disclosures, conflicts of interests, marketing, advertising, cybersecurity, business continuity, and other asset management priorities. With […]
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