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Effective August 16, 2021, the Securities and Exchange Commission (SEC) adjusted upward the assets-under-management and net worth thresholds in the definition of "qualified client" under Rule 205-3...
In this issue, we cover regulatory developments impacting the investment management sector, including proposed legislation supported by the Investment Company Institute to address...
INTRODUCTION - On 17 June 2021, the U.S. Securities and Exchange Commission (the SEC) issued an order to: (i) increase the net worth threshold for “qualified clients” under Rule 205-3...