por admin | Abr 18, 2024 | ICS Insights
ICS Insights SEC Modernizes Internet Adviser Rule ; SEC Modernizes Internet Adviser Rule On March 27, 2024, the Securities and Exchange Commission (“SEC”) adopted amendments to the rule allowing internet-based investment advisers to register with the SEC...
por admin | Abr 5, 2024 | ICS Insights
ICS Insights Risk Alert: Shortening the Securities Transaction Settlement Cycle ; Risk Alert: Shortening the Securities Transaction Settlement Cycle Today the Division of Examinations published a Risk Alert regarding the shortening of the securities transaction...
por admin | Mar 18, 2024 | ICS Insights
ICS Insights The Amendments significantly increase the amount of information required to be included on Form PF ; SEC and CFTC Adopt Substantial Amendments to Form PF March 7, 2024 AUTHORSGabriel Acri | Benjamin B. Allensworth | Anne C. Choe | John F. Rupp The...
por admin | Mar 18, 2024 | ICS Insights
ICS Insights Beginning on January 1, 2024, many companies in the United States will have to report information about their beneficial owners. ; New Federal Reporting Requirement for Beneficial Ownership Information (BOI) Beginning on January 1, 2024, many companies in...
por admin | Mar 18, 2024 | ICS Insights
ICS Insights The SEC recently adopted new rules (the “Private Fund Rules”) that will require additional reporting requirements and impose restrictions on certain activities of investment advisers to private funds. ; The SEC recently adopted new rules (the “Private...
por 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...
