Tag Archives: RIA

SEC Publishes Private Funds Statistics Report

November 2, 2015Legal Alertsprivate funds, RIA, SECDaniel LeGaye

The Securities and Exchange Commission (“SEC”) recently published the Private Funds Statistics Report for Fourth Quarter 2014. The report provides private fund industry statistics and trends, reflecting aggregated data reported … Continue reading SEC Publishes Private Funds Statistics Report →

FinCEN Re-Proposes AML Rule for Investment Advisers

June 29, 2015Legal AlertsAML, FinCEN, Investment Adviser, RIADaniel LeGaye

The U.S. Department of the Treasury (“Treasury Department”) submitted its Semiannual Regulatory Agenda for review by The Office of Management and Budget (“OMB”) in April 2015. The semiannual regulatory agenda … Continue reading FinCEN Re-Proposes AML Rule for Investment Advisers →

Legal Alerts

DOL Rule in Limbo, But Not Best Interest Standard
FINRA Updates Remote Branch Inspection Guidance

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