Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC July 28, 2016 On June 9, a bipartisan group of legislators in the House of Representatives introduced the Investment Advisers Modernization Act of 2016, … Read More ›
The SEC issued an order on June 14, 2016 approving inflation-related adjustments to the dollar amount tests in Rule 205-3 of the Investment Advisers Act of 1940. Under Rule 205-3, SEC-registered investment advisers are permitted to charge performance-based compensation to … Read More ›
On June 28, 2016, the SEC proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans (Rule 206(4)-4 under the Investment Advisers Act of 1940). An adviser’s plan would be … Read More ›