On Jan. 13, 2021, the Division of Investment Management staff (Staff) of the Securities and Exchange Commission (Commission) issued a no-action letter advising that it would not recommend enforcement action
Continue Reading SEC Staff Issues No-Action Relief for Custody of Certain Loan Interests Under the Investment Company Act
investment advisers act of 1940
SEC Approves Final Regulation Best Interest, Form CRS
On June 5, 2019, the Securities and Exchange Commission (SEC) voted 3-1 to adopt a series of proposals intended to “substantially enhance” the standards of conduct for financial professionals.
First…
Continue Reading SEC Approves Final Regulation Best Interest, Form CRS