Please find below our Comment Letter on the U.S. Securities and Exchange Commission (“SEC” or “Commission”) under the Investment Advisers Act of 1940 (“Advisers Act”)...
Last December, the SEC adopted significant amendments to its existing rules under the Investment Advisers Act governing advertising by investment advisers and cash payments to solicitors. As a result of these amendments, as of May 4, 2021, there will be a single rule—new Rule 206(4)-1—which more comprehensively addresses requirements and prohibitions relating to investment adviser...
Last December, the SEC adopted significant amendments to its existing rules under the Investment Advisers Act governing advertising by investment advisers and cash payments to solicitors. As a result of these amendments, as of May 4, 2021, there will be a single rule—new Rule 206(4)-1—which more comprehensively addresses requirements and prohibitions relating to investment adviser...
