Corporate Transparency Act May Impact State RIAs and Certain Businesses

The U.S. Treasury has implemented a new beneficial ownership reporting requirement pursuant to the Corporate Transparency Act (CTA). Although SEC-registered investment advisers are not subject to this requirement, state Registered Investment Advisers (RIAs) may be...

2023 Compliance Roundup Shows RIAs How to Steer Clear of Problems

It has been a busy year for the SEC from a compliance perspective. You should think about these compliance events as you conduct your annual review of your firm’s policies and procedures. An adviser’s policies and procedures should reflect the firm’s business model,...