Carl Ayers
(a) Venture capital fund defined. For purposes of section 203(l) of the Act (15 U.S.C. 80b-3(l)), a venture capital fund is any entity described in subparagraph ...
(a) United States investment advisers. For purposes of section 203(m) of the Act (15 U.S.C. 80b-3(m)), an investment adviser with its principal office and place ...
The Commission shall submit annually a report to the Congress covering the work of the Commission for the preceding year and including such information, data, ...
An investment adviser registered under this title shall take such steps to safeguard client assets over which such adviser has custody, including, without limitation, verification ...
Nothing in this title shall relieve any person of any obligation or duty, or affect the availability of any right or remedy available to the ...
It can bewilder compliance officers to ensure their firm complies with multiple rules. Extrapolate that challenge ten-fold should the many rules come from more than ...
First, the SEC announced the inaugural whistleblower award to a compliance officer (IA Watch, Sept. 5, 2014). Now, the agency unveiled last week its largest ...
There may be a crying need for more regulatory exams of advisers but OCIE examined about 1,000 IAs in the fiscal year ending this week. ...
Even the SEC recognizes its advertising and marketing rules for advisers aren’t easy. “Advertising and marketing is a really challenging and difficult area,” said ...