Tag: investment advisers
New SEC rules could change the game for hedge funds and...
The U.S. Securities and Exchange Commission (SEC) has recently made significant adjustments to its regulatory framework, introducing two pivotal rules, Rules 3a5-4 and 3a44-2, collectively known as the Final Rules.
Unveiling the cost of non-compliance: 16 firms hit with $81m in...
In a significant move underscoring the persistent focus on regulatory compliance within the financial sector, the Securities and Exchange Commission (SEC) has once again made headlines by imposing fines on another 16 firms.
