The #SEC has released a final rule updating Regulation S-P, which covers the treatment of nonpublic personal information by broker-dealers (including funding portals), investment companies, RIAs, and for the first time, transfer agents. Learn more here: https://bit.ly/3VPMtOK
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On September 20, 2023, the Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (Investment Company Act). The amendments were approved to “modernize and enhance” Rule 35d-1 (Names Rule) and to “help ensure that a fund’s portfolio aligns with a fund’s name.” The amendments will increase the scope of the Names Rule to include any fund name that suggests a fund focuses on investments with specific characteristics rather than differentiating between fund names that reference a strategy. Read more ➡ https://bit.ly/46mpvS1 Authors: Andy Davalla and Randy Gerlach #sec #investmentmanagement #investmentcompanyact
SEC Adopts New Names Rule Under the Investment Company Act
thompsonhine.com
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The U.S. Securities and Exchange Commission on Tuesday said it has charged five investment adviser firms for failing to meet requirements related to the safekeeping of client assets. #brokerdealer #brokerage #financialservices #RIA #SEC #SecuritiesandExchangeCommission #LloydGeorgeManagement #HKLtd #BluestoneCapitalManagementLLC #TheEideardGroup #DisruptiveTechnologyAdvisersLLC #ApexFinancialAdvisorsInc
SEC Charges Five Investment Advisers with Custody Rule Violations
https://thediwire.com
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BDO shares what registered fund managers and business development companies need to know about the U.S. Securities and Exchange Commission amendments to Rule 35-1 (the “Names Rule”) to be compliant. #FinancialAdvisers #FundManagers
Changes to the SEC's "Names Rule" Will Affect Registered Funds
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Director, CFO Accounting & Advisory | IPO services | M&A | IFRS | US GAAP | Finance Transformation| Stanford GBS| Ex-BIG 4 | Ex-BDO
Important information for investment companies! The SEC has recently made amendments to the Names Rule, which will have a significant impact on registered investment companies (RICs). The SEC has amended Rule 35-1 under the Investment Company Act of 1940, also known as the "Names Rule," which will affect registered investment companies and business development companies. The amendments broaden the scope of funds subject to the 80% investment policy, require enhanced disclosures related to fund names, and establish more recordkeeping requirements. The adoption timeline varies by fund size, with the earliest expected compliance date for the largest funds in late 2025 and smaller funds having an additional six months. The purpose of the Names Rule is to prevent fund names from misrepresenting the fund's investments and risks, and the amendments modernize and enhance requirements to further protect investors. Checkout the article for more details. #BDO #InvestmentCompanies #SEC #NamesRule https://bit.ly/3Fmvb2B
Changes to the SEC’s “Names Rule” Will Affect Registered Funds
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The Securities and Exchange Commission proposed amendments to the rule permitting certain investment advisers that provide investment advisory services through the Internet to register with the Commission. Read more: https://bit.ly/45YbiKy #SEC #Reform #InvestmentAdviser #AdvisoryServices #EdgarFiling #Securex
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We are fully regulated and authorised to offer general financial advice in the form of securities recommendations like Buy, Sell, Hold, Avoid and Watch. Our mission is to empower every investor with our well researched investing opinions! https://lnkd.in/dMV8PwTK #ASXStockstoBuy #ASXStockRecommendations #ASX #Australia
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Looking to raise investor capital? Any company raising funds must comply with the complex and strict reporting requirements of the Securities and Exchange Commission - unless they want to get an exemption and can qualify. It's not straightforward, but making the right decisions will keep you out of legal trouble while optimizing your best options. In this article, Michael Hackett explains the Reg D option. #SEC #investing
What is Regulation D and Why is it Important?
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The proof is in the ADV. You can learn so much about an advisory firm by reading their ADV. All public information on the SEC website - https://lnkd.in/gfDrgiJP. Total AUM managed, how they charge, services provided, and potential conflicts of interest.
IAPD - Investment Adviser Public Disclosure - Homepage
adviserinfo.sec.gov
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Simply My Pursuit, Is OUR Potential. I offer a variety of services under ALMFC LLC. There are no limits to what we can provide for you as a client. ALMFC - Advanced Liquidity Management and Funding Center.
Q2: Why is a PPM important for investors and issuers? A PPM is important because it serves as a disclosure document. For investors, it provides essential information to make informed investment decisions. For issuers, it helps in complying with securities regulations and avoiding legal issues.
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