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Quarterly News – Q2 2023

Dear Client As part of our client update program, please find below a summary of what we believe to be the most relevant information on the SECs Examination Priorities for the Division of Examinations (Division) and the proposal of the new custody rule 223-1. 1. Examination Priorities 2023 The SEC announced its Examination Priorities for 2023. New Investment Adviser and Investment Company Rules The Division will focus on the new Marketing Rule (Advisers Act Rule 206(4)-1) and whether registered investment advisers (RIAs) have adopted and implemented written policies and procedures…
26. March 2023