The SEC isn’t the only agency investment advisers need to have on their radars. The IRS has extended the reporting deadline for certain FBAR filings, and reporting under the Foreign Account Tax Compliance Act (FATCA) will begin soon, now that … Read more
Where Do We Stand? Implications of the JOBS Act on Private Funds Performance Advertising Disclosure Failures in GIPS Compliance Social Media Advertising JOBS Act Implementation GIPS Deficiencies and Recent SEC Cases; Status Update on Social Media Record Keeping Solutions
Jumping Into Advertising Under The Jobs Act, And The Sec’s Custody About-Face With the SEC’s adoption of rules under the JOBS Act, new Rule 506(c) allows advisers to conduct general advertising and general solicitation if certain additional steps are taken. … Read more
Old Rules New Considerations Plus New Rules Growing Use of Social Media & Blogs Implications of the JOBS Act on Private Funds Performance Advertising Disclosure GIPS Compliance
Wire Fraud Procedures and New JOBS Act Rules Proposed Wire fraud is a growing concern for investment advisers. Hear how it may impact you, and tune in as our consultants explain how the SEC’s newly proposed rules under the JOBS … Read more
JOBS Act Update, SEC Examination Initiative, and Understanding the Enforcement Process Our consultants provide a status update of the JOBS Act in which the SEC guidance is expected by Independence Day! This relaxation of the General Solicitation prohibition under Rule … Read more
Transitioning from SEC to State Registration, Personal Trading Records, and the JOBS Act We take a closer look at three timely issues for Investment Advisers, including those transitioning to State registration.