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Annual Reviews & Risk Assessments | Blog | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Four Hot Topics to Consider for Your 2024 Annual Review

July 2, 2024 by

What should you consider when performing your annual review? With so many new regulations and amendments, it can be challenging to keep abreast of what areas the SEC is scrutinizing and expecting advisers to examine closely. You should consider first and foremost the highest risks, as well as the areas that have been in the headlines for the last several months. … Read More

Investment Adviser Regulatory Counsel (SEC & State) | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance | Regulatory Filings | RIA, Private Fund, BD, etc.

Securities Law Considerations Part 2: SEC Registered Funds, Exemptions and Regulatory Considerations

April 24, 2024 by

The Investment Company Act of 1940, as amended (“40 Act”) defines an “investment company” as an issuer primarily involved in the business of investing, reinvesting, or trading securities. It explicitly prohibits any engagement in buying and selling securities without SEC registration or a valid exemption. Hedge funds and comparable pooled investment vehicles fall under this definition if they meet one of the two exemptions.… Read More

Blog | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Regulatory Compliance | Regulatory Filings

Compliance Considerations for Adding ESG Assets to Your Client Portfolios

January 25, 2024 by

Investment Advisers who fail to adopt or acknowledge the societal mind-shift towards sustainability may lose out on potential investors.
Whereas such shifting trends may have been ignored several years ago, overlooking the importance of incorporating investments that adhere to responsible Environmental, Social, and Governance (ESG) practices may border on an investment adviser’s failure to act in the best interest of their investors.
However, it is advisable to take the necessary steps to mitigate risk when adding ESG investment assets to clients’ portfolios.… Read More

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