On Nov. 14, 2016, the Securities and Exchange Commission (SEC) hosted an all-day forum on FinTech ( Forum). The event highlighted the active role the SEC intends to take in
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Advisors Act
SEC Issues No-Action Letter on Custody Rule
By Christopher P. McHugh on
Posted in Compliance, SEC
On April 25, 2016, the SEC issued a no-action letter to the Investment Advisers Association clarifying its views on the application of Rule 206(4)-2 under the Advisers Act (the Custody…
Continue Reading SEC Issues No-Action Letter on Custody Rule