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The weekly news source for investment management legal and compliance professionals

Topic: Status and Exemptions - Advisers

SEC Seeks Comments on Adviser Licensing and CE, Account Statements, Finances

April 27, 2018
Will investment adviser employees in the not-too-distant future need to be federally licensed and seek continuing education credits, required to provide account statements to clients, and meet new "financial responsibility" measures? Itís quite possible, given that the Commission this month requested comments on these specific subjects.

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Adviser Finds That Exemption Does Not Protect Against Enforcement

April 8, 2016
"Exempt" doesnít mean exempt from anti-fraud regulations or the SECís watchful eye. A venture capital fund adviser found this out the hard way when it reached a settlement with the agency over allegations that it misappropriated more than $18 million in investor funds.

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Waivers: Aguilar Calls for Conditional Waivers, More Transparency

September 18, 2015
SEC commissioner Luis Aguilar wants the SEC to change how the Commission staff handles requests for waivers from regulatory disqualifications. More comprehensive and detailed reporting of staff waiver action, creation of a public waiver website, and the increased use of conditional waivers are among his suggestions.

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Family Office FAQs Released

February 7, 2012


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What Can Registering Advisers Expect When They Arrive At The SEC?

March 2, 2011


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What They’re Saying About The Proposed Registration Exemptions For Advisers To Venture Capital Funds and Certain Other Private Funds

February 24, 2011


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What They're Saying About Family Offices

December 22, 2010


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