by admin | Sep 21, 2023 | ICS Insights
ICS Insights SEC Marketing Rule Enforcement: charges against nine registered investment advisers over hypothetical performance advertising ; On September 11, 2023, the U.S. Securities and Exchange Commission (SEC) announced settled charges against nine registered...
by admin | Sep 21, 2023 | ICS Insights
ICS Insights SEC Risk Alert to Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents ; On Sept. 6, 2023, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert detailing the Division’s examination selection...
by admin | Aug 25, 2023 | ICS Insights
ICS Insights New Private Funds Rule ; Yesterday, the SEC finally approved the proposed changes to the Private Funds regulations. Below you will find the official news release and an attachment with the Key Changes. Most of the changes/updates will become effective...
