SEC Adopts Amendments to Broaden Accredited Investor Definition
On August 26, 2020, the SEC expanded the definition of “accredited investor,” which is one of the primary tests for determining who is eligible to participate in private capital markets. The SEC’s final rule can be found HERE...RIAs Must Make Good on Fee Refunds and Fully Disclose Their Financial Condition
On July 20, 2018, the SEC announced the settlement of charges against a Beverly Hills-based Registered Investment Adviser (RIA) and its majority owner, because the firm improperly refused to refund unearned advisory fees to 63 clients who left the firm. The RIA also...SEC Publishes Its 2017 Compliance Priorities
Each year, the SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes its priorities, and 2017 is no exception. On January 12, 2017, OCIE announced its examination priorities. Registered Investment Advisers (RIAs) and other financial entities will...DOL Fiduciary Rule: Conflicts and Resolution Strategies Webinar
Please join us on January 11, 2017 at 2:00 p.m. Eastern Time to discuss the DOL Fiduciary Rule, conflicts of interest under the rule, and strategies to help resolve those conflicts.
Recent Comments