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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...
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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...
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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...
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