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In this issue we discuss, among other things, SEC Division of Investment Management guidance regarding registered funds and differential advisory fee waivers, SEC Division of Examinations...
In this issue we discuss, among other things, an update to SEC FAQs regarding compliance with the Advisers Act marketing rule, and a recent enforcement action involving a portfolio manage...
In this issue we discuss, among other things, an update to SEC FAQs regarding compliance with the Advisers Act marketing rule, and a recent enforcement action involving a portfolio manage...
In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
In this issue, we discuss, among other things, recently adopted rule amendments on proxy voting disclosures by registered funds, “say-on-pay” voting disclosures by institutional inves...
In this issue, we discuss, among other things, recently adopted rule amendments on “say-on-pay” voting disclosures by institutional investment managers and proposed new oversight requ...
In this issue we discuss, among other things, a Division of Examinations risk alert relating to the Marketing Rule, SEC Chair Gary Gensler’s remarks regarding crypto tokens and securiti...
