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Safeguards Rule
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SEC charges five investment advisers for custody rule violations
The SEC charges five investment adviser firms for failing to meet requirements related to the safekeeping of client assets.
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SEC overhauls private fund rules to enhance transparency, control fees
The US securities regulator on Wednesday approved sweeping new rules aimed at overhauling the way private funds interact with their investors.
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NSCP membership has concerns about SEC’s proposed rules on safeguarding assets
We spoke to NSCP CEO Lisa Crossley and consultant Colleen Diles about why their comment letter to the SEC over Rule 206(4)-2 amendments.