In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.
The SEC staff has published FAQs addressing a number of formatting and delivery requirements for new Form CRS that, beginning in July 2020, investment advisers and broker-dealers must provide to...
In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules addressing investment adviser advertisements and payments to solicitors. According to the SEC, the...
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