SEC Proposes Amendments to Small Entity Definitions
The SEC has proposed amendments that would revise small entity classifications under the Regulatory Flexibility Act for investment companies, investment advisers, and BDCs. Firms should review whether these changes affect their reporting and compliance obligations.
ICS advises financial institutions navigating regulatory changes of this type. If your firm needs to assess the impact of this development on your compliance program, contact us to discuss.
About ICS Insights
ICS Insights provides periodic regulatory commentary for financial institutions. Our analysis focuses on developments that materially affect compliance obligations across the institutions we serve.
ICS Insights
Stay current on regulatory developments affecting your firm.
Periodic regulatory commentary.
ICS does not share subscriber information with third parties.
We work with a select number
of institutions.
Our consulting model requires proximity to each client. We keep our client base selective; it is the condition of the service we provide.