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SEC Moves Forward with New Advertising and Solicitation Rules

On December 10, 2019, the SEC’s published proposed amendments to the Advertising and Solicitationsfalse

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time 2 minute read

Securities and Exchange Commission Issues “Dear CFO Letter” and Forms Accounting Matters Bibliography for Investment Companies

On November 22, 2019 the staff of the Chief Accountant’s Office of the Securities and Exchangefalse
time 1 minute read

Navigating the Waters of Innovative Products

By Gabriel Edelman and Steve Murphy
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ESG And Responsible Due Diligence

Over recent decades, the definition of corporate responsibility has expanded, increasing thefalse
time 1 minute read

October is National Cybersecurity Awareness Month (NCSAM)

October is National Cybersecurity Awareness Month (NCSAM). The goal of this collaborative effortfalse

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time 2 minute read

The New ETF Rule 6c-11

Today the SEC announced the approval of the new ETF rule 6c-11 designed to modernize the regulationfalse
time 2 minute read

Due Diligence and Technology: Quant and AI-Guided Funds

The news has made us all keenly aware that computer algorithms have bested humans in numerousfalse

RIA

time 2 minute read

Massachusetts – New Fee Disclosure Requirements for Investment Advisers

The Commonwealth of Massachusetts passed an amendment to its investment adviser regulationsfalse

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time 4 minute read

SEC Clarifies RIAs’ Proxy Voting Responsibilities

On August 21, 2019, the SEC provided guidance to Registered Investment Advisers (“RIAs”) dealingfalse

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The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.