On June 28, 2016, the Securities and Exchange Commission (SEC) proposed new Rule 206(4)-4 under the Investment Advisers Act of 1940 (Advisers Act) that would require registered investment advisers to ...
The Securities and Exchange Commission (“SEC”) recently proposed Rule 206(4)-4 1 under the Investment Advisers Act of 1940 (“Advisers Act”), which would require registered investment advisers (“firms” ...
New rules on business continuity management for the finance sector came into effect this month, but one local expert says more than just finance companies will be affected. April 1 saw a new standard ...
Business continuity and disaster planning has been a focus of the Securities and Exchange Commission in its examinations of Registered Investment Advisors in recent years, following the impact of ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. The principles set out the SC’s expectations of the business continuity ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
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