News and Alerts Archives - Page 5 of 6

Multi-Billion Dollar Fund Complex Selects Herald Investment Marketing as their Preferred Provider

Herald Investment Marketing (“HIM”) is pleased to announce that it has recently been selected as the Preferred Provider of Principal Underwriter/ Distributor services for a […]

Registered Investment Advisors with Retail Investors Must File Form CRS by June 30, 2020

All SEC Registered Investment Advisors that have retail investors must file a FORM CRS relationship summary no later than June 30, 2020. Retail Investors are defined as […]

Private Equity Enforcement Action

On May 26, 2020, Los Angles based private equity firm managing over $100 Billion in RAUM, Ares Management, LLC, agreed to pay 1 Million dollars […]

New Reg BI FAQs: June 30th Compliance Date

The SEC’s Staff of the Division of Trading and Markets has released an FAQ to its most frequently asked questions on Regulation Best Interest (“Reg BI). Recently three […]

SEC Releases an FAQ on COVID-19 Efforts

The FAQ that the SEC released encompasses their efforts and their impacts for firms and funds due to COVID-19. The questions are to their responses […]

Questions The SEC is Asking Advisers Amidst COVID-19

The SEC’s OCIE (Office of Compliance Inspections and Examinations) is doing their best to be fully operational nationwide. They have announced they are moving examinations […]

SEC Provides Temporary Flexibility to Registered Investment Companies

The Securities and Exchange Commission today announced temporary flexibility for registered funds affected by recent market events to borrow funds from certain affiliates and to […]

Tips for CCOs During COVID-19 Market Stress

As the Global Pandemic COVID-19’s impact continues to grow there are a few things Investment Managers should consider while keeping business flowing. In addition to […]

ADV Filing and Form PF Requirements Are Extended by the SEC

On March 13, 2020, the SEC announced they will be providing conditional relief from specific Form PF and Form ADV filing requirements due to the […]

Vigilant Compliance Update on COVID-19

As the COVID-19 (“Coronavirus”) situation continues to evolve, the safety of our team members and clients is paramount. Similar to many companies both domestically and […]

Division Of Investment Management Actively Monitoring Effects Of COVID-19 On Advisors And Funds

As a result of the current and potential effects of Coronavirus (“COVID-19”), the staff at the Division of Investment Management is hereby extending the no-action position […]

Mutual Funds + Investment Management Conference

Conference Details: We are pleased to announce that we will be a Sponsor of the ICI 2020 Mutual Funds and Investment Management Conference in Palm Desert, California. Today’s funds face […]