More Financial services regulatory publications

November 2013

How the SEC's custody rule impacts private fund advisers

How the SEC's custody rule impacts private fund advisers

August 2011 - The Dodd-Frank Wall Street Reform and Consumer Protection Act and rules recently adopted by the Securities and Exchange Commission require advisers to private funds to register with the SEC as investment advisers and come into compliance with the Investment Advisers Act by March 31, 2012. This FS Regulatory Brief describes the Custody Rule and some considerations for private fund advisers as they prepare to register with the SEC.

SEC's current views related to trade allocation practices

SEC's current views related to trade allocation practices

July 2011 - This article analyzes the specific allocation practices challenged by the SEC and provides guidance on how investment advisers may fortify their investment allocation practices by: (1) implementing and following effective written allocation policies and procedures; (2) ensuring proper disclosure of allocation practices to clients and investors; and (3) keeping proper books and records with respect to trade orders and allocations.

How the SEC's custody rule impacts private fund advisers

How the SEC's custody rule impacts private fund advisers

August 2011 - The Dodd-Frank Wall Street Reform and Consumer Protection Act and rules recently adopted by the Securities and Exchange Commission require advisers to private funds to register with the SEC as investment advisers and come into compliance with the Investment Advisers Act by March 31, 2012. This FS Regulatory Brief describes the Custody Rule and some considerations for private fund advisers as they prepare to register with the SEC.

SEC's current views related to trade allocation practices

SEC's current views related to trade allocation practices

July 2011 - This article analyzes the specific allocation practices challenged by the SEC and provides guidance on how investment advisers may fortify their investment allocation practices by: (1) implementing and following effective written allocation policies and procedures; (2) ensuring proper disclosure of allocation practices to clients and investors; and (3) keeping proper books and records with respect to trade orders and allocations.


 

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