Our Investment Services Team just published their March 2024 Regulatory update, analysing a broad selection of enforcement actions and federal agency initiatives from Q1. Below you can find the articles.
- SEC, CFTC Adopt Changes to Form PF Reporting Private Funds
- SEC adopts new Rules Extending Definition of Dealers required to Register with SEC
- FinCEN proposes rules to address AML risks to advisers
- SEC staff issues FAQs about tailored shareholder reports
- SEC staff issues an update to FAQs on Marketing Rule
- SEC Announces William Birdthistle’s departure as Director of Investment Management Division and Names Natasha Vij Greiner the New Director
- PCAOB Reopens Comment Period for NOCLAR Proposal
- SEC Settles Charges Against Adviser for Alleged Section 15(c) Violations from Failure to Disclose Index License Fee Structure to ETF’s Board
- SEC Settles Charges Against Adviser/Broker-Dealer for Alleged Whistleblower Protection Rule Violations
