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Colorado Division Of Securities Adopts New Investment Adviser Compliance Program Rule | Part 2 - Corporate and Company Law

Published: October 26, 2023

This Part 2 describes, in detail, the requirements of new Rule 51-4.12(IA) ...

Source: mondaq.com

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SEC Proposes Rule Requiring Service Provider Due Diligence and Monitoring by Registered Investment Advisers | Lowenstein Sandler LLP

Published: November 22, 2022

On October 26, the Securities and Exchange Commission (SEC) issued a rule release (Release) that proposed new and amended rules (Proposed Rule) under the Investment Advisers Act of...

Source: jdsupra.com

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Lowenstein SandlerExchange CommissionClient ServicesService ProviderService ProvidersParty RecordkeepersProposed RuleInvestment Advisers ActAdvisers ActCovered FunctionsCovered FunctionSupervised PersonsRecords RuleService Provider RelatedFederal RegisterClient AlertsClient Alert