This is the Advisers Act's books and records rule
The Dow may have jumped more than 10% in 2023, but aggregate private equity and hedge fund AUM failed to keep pace
The numbers of private fund advisers grew 39% between 2012 and 2023, spurred by the tremendous increase (103%) in private equity funds
Given the alarm sounded by a new report from the Treasury Department about the risks that IAs pose to money laundering, you could be left ...
RCW's exclusive look at what new Form ADV data show about private fund advisers, the SEC finalizes Reg S-P revisions, a cybersecurity proposal and much ...
The issues stemmed from failing to disclose conflicts in the firm's variable annuity and cash sweep money market fund selection practices, and making recommendations that ...
Key Investment Services and its reps did not disclose in writing that the reps were acting as associated persons when they made the transfer recommendations, ...
"This disproportionately large penalty for failure to report in a timely manner ... suggests to us that the Commission is more concerned with generating large ...
"The crypto industry’s record of failures, frauds, and bankruptcies is not because we don't have rules or because the rules are unclear. It’s because many ...
"As the compliance date of May 28, 2024, approaches, the Commission will continue its efforts to help facilitate a successful transition"