This article highlights selected investment adviser guidance that the Securities and Exchange Commission (SEC) staff published in the first quarter of 2017 and supplements Sidley’s annual summary of developments for investment advisers published on February 17, 2017. The recent guidance addresses certain obligations of investment advisers under the Investment Advisers Act of 1940 (Advisers Act) and the rules thereunder.
Journal of Investment Compliance
SEC Publishes Important Guidance on The Custody Rule, Participating Affiliate Arrangements, Robo-Advisers, Form PF and Certain Compliance Topics
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