LOADING
Latest News
Seven simple questionsHelp us improve your experience, delivering more of what you want
ESG Survey
Seven simple questions – Help us improve your experience, delivering more of what you want!
Tag: Investment Advisers Act
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers
October 26, 2022
The Securities and Exchange Commission today proposed a new rule and rule amendments under the Investment Advisers Act of 1940 to prohibit registered investment advisers from outsourcing certain services and...
chat_bubble0 Comment
visibility2187 Views
SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both
September 9, 2022
The Securities and Exchange Commission today announced charges against a number of investment advisers that failed to comply with requirements relating to safekeeping client assets and/or to timely update their...
chat_bubble0 Comment
visibility28 Views
SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees
September 2, 2022
The Securities and Exchange Commission today charged Energy Innovation Capital Management, LLC (EIC), a California-based exempt reporting adviser, with charging excess management fees from two venture capital funds. EIC has...
chat_bubble0 Comment
visibility26 Views
trending_upTrending
whatshotPopular
then “Add to home screen”