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Proposed Amendments to Form PF What happened? Since its adoption in 2011, Form PF has been used by private fund advisers to describe required information regarding their fund’s operations. [...]
SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft
SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft What happened? The SEC announced in a press release that it separately charged [...]
SEC Examination Requests Regarding E-signatures What happened? Electronic signatures have become an important part of advisers’ daily business. While the SEC’s Division of Exams (EXAMS) has not yet published [...]
The New Marketing Rule: Part 7 – Third Party Ratings What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the advertising and [...]
The New Marketing Rule Part 6: Categories of Performance and Their Requirements What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the advertising [...]