Notice
8 Apr 2025
financial services, investment advisory, sec, regulation compliance, ethics
📈SEC Rule 204A-1
The SEC is seeking an extension for the information collection associated with Rule 204A-1, which requires investment advisers to implement and maintain a code of ethics governing the conduct of their staff and personal securities transactions. This includes safeguards for nonpublic information and reporting standards for potential violations.
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Notice
2 Apr 2025
compliance, sec, regulation, business impact, investment advisory
📉SEC Notice to Cancel Registrations of Non-Compliant Advisers
The SEC announces its intent to cancel the registrations of certain investment advisers under Section 203(h) of the Investment Advisers Act of 1940. This decision arises from findings that some registrants are no longer in business or have not fulfilled their regulatory obligations. Interested parties may request a hearing on these cancellations before April 22, 2025.
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Compliance, Financial Services
10 Jan 2025
compliance, sec, financial services, regulatory requirements, investment advisory