Saturday April 30, 2016

Recent News

Staff Clarifies Custody Arrangements for Sub-Advisers

The SEC staff issued a no-action position to the Investment Adviser Association offering relief from custody requirements as they apply to sub-advisers. Where an adviser maintains client investments,

SEC Hosts Annual Compliance Seminar for Investment Companies and Investment Advisers

The Office of Compliance Inspections and Examinations, the Division of Investment Management, and the Asset Management Unit of the Division of Enforcement hosted the SEC’s annual National Compliance

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