The SEC Custody Rule

What investment advisors need to know about Custody Rule compliance The Security and Exchange Commission’s (“SEC”) mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital…

New Operating Burdens for Private Fund Managers

…practices that are contrary to the public interest and the protection of investors unless they provide certain disclosures to investors, and in some cases, receive investor consent; and Prohibit providing…

SEC Update: Regulation Best Interest and Form CRS

SEC’s rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. On June 5, 2019, the Securities and Exchange Commission adopted…


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