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The weekly news source for investment management legal and compliance professionals

February 29, 2016

This Week's Issue

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White Justifies SEC Push to Go Beyond Disclosure

SEC chair Mary Jo White last week laid out her case for agency actions that take the SEC beyond its traditional role of requiring disclosure to one of requiring more substantive steps, among them the recently proposed rules on derivatives and liquidity management. Advisers should take note: It’s not your grandparents’ SEC anymore.
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Second Adviser Settles After Relying on F-Squared Performance Data

The repercussions from the SEC’s settlement with F-Squared Investments continued last week when an advisory firm that relied on F-Squared’s performance data reached a settlement with the agency. That makes two advisory firms – the first one settled this past November – that have found themselves caught up in the wake of the original F-Squared case.
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Beware Finders Not Registered as Broker Dealers

Question: When does a third-party marketer need to be registered as a broker-dealer? Answer: Almost always.
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